SEC Form 4 · accession 0000064040-19-000068
S&P Global Inc. · SPGI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas L. Peterson
Officer — CEO & President · Director
Period of report
Feb 26, 2019
Accepted (ET)
Feb 28, 2019 · 9:02 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 Stock | Feb 26, 2019 | A | 59,891 | $0.00 | A | 214,506 | D | |
| Common Stock | Feb 26, 2019 | F | 31,875 | $201.48 | D | 182,631 | D | |
| Common StockF3 | Feb 26, 2019 | G | 7,500 | $0.00 | D | 175,131 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options (Right to Buy)F4 | $77.81 | holding | — | — | — | Apr 1, 2015 | Mar 31, 2024 | Common Stock | 51,304 | 51,304 | D |
| Restricted Stock UnitsF5,F6 | $0.00 | holding | — | — | — | Dec 31, 2017 | Dec 31, 2019 | Common Stock | 4,732 | 4,732 | D |
| Restricted Stock UnitsF5 | $0.00 | holding | — | — | — | Apr 2, 2021 | Apr 2, 2021 | Common Stock | 10,716 | 10,716 | D |
| Restricted Stock UnitsF5,F7 | $0.00 | holding | — | — | — | — | — | Common Stock | 7,345 | 7,345 | D |
Explanation of responses
- F1Represents acquisition of beneficial ownership due to the achievement of performance goal under performance share unit award.
- F2Withholding of shares of Common Stock under the S&P Global Inc. 2002 Stock Incentive Plan withholding obligation in transaction exempt under and complying with Rule 16b-3.
- F3Represents shares that the reporting person donated as a gift to a charitable donor advised fund.
- F4As previously reported, the reporting person was granted 51,304 options on 04/01/2014, which became exercisable in annual installments. The first installment of 33% became exercisable on 04/01/2015, the next 33% installment became exercisable on 04/01/2016 and the remaining 34% installment became exercisable on 04/01/2017.
- F5Each restricted stock unit represents a contingent right to receive one share of SPGI common stock.
- F6As previously reported, the reporting person was granted 13,916 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 10,936 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 the 34% on 12/31/2020. Vested shares will be delivered to the reporting person no later than January 31 following the respective vesting date.