SEC Form 4 · accession 0000064040-19-000062
S&P Global Inc. · SPGI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ewout L Steenbergen
Officer — EVP & Chief Financial Officer
Period of report
Feb 11, 2019
Accepted (ET)
Feb 13, 2019 · 6:52 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000064040
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Feb 11, 2019 | S | 2,900 | $193.98 | D | 5,239 | D | |
| Common StockF3 | Feb 11, 2019 | S | 1,100 | $194.77 | D | 4,139 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF4,F5 | $0.00 | holding | — | — | — | — | — | Common Stock | 2,450 | 2,450 | D |
| Restricted Stock UnitsF4,F6 | $0.00 | holding | — | — | — | Dec 31, 2017 | Dec 31, 2019 | Common Stock | 1,419 | 1,419 | D |
| Restricted Stock UnitsF4,F7 | $0.00 | holding | — | — | — | — | — | Common Stock | 6,580 | 6,580 | D |
Explanation of responses
- F1The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 10/29/2018.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $193.67 to $194.63, inclusive. The reporting person undertakes to provide to S&P Global Inc., any security holder of S&P Global Inc., or the staff of the Security and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $194.68 to $194.90, inclusive. The reporting person undertakes to provide to S&P Global Inc., any security holder of S&P Global Inc., or the staff of the Security and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4.
- F4Each restricted stock unit represents a contingent right to receive one share of SPGI common stock.
- F5As previously reported, the reporting person was granted 3,657 restricted stock units on 04/02/2018, subject to 3-year vesting. The restricted stock units vested 33% on 12/31/2018 and will vest 33% on 12/31/2019 and 34% on 12/31/2020. Vested shares will be delivered to the reporting person no later than January 31 following the respective vesting date.
- F6As previously reported, the reporting person was granted 4,175 restricted stock units on 04/03/2017, subject to 3-year vesting. The restricted stock units vested 33% on 12/31/2017 and 33% on 12/31/2018 and the remaining 34% will vest on 12/31/2019. Vested shares will be delivered to the reporting person no later than January 31 following the respective vesting date.
- F7As previously reported, the reporting person was granted 19,353 restricted stock units on 12/01/2016, subject to 3-year vesting. The restricted stock units vested 33% on 12/01/2017 and 33% on 12/01/2018 and the remaining 34% will vest on 12/01/2019.