SEC Form 4 · accession 0000064040-19-000086
S&P Global Inc. · SPGI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Courtney Geduldig
Officer — EVP, Public Affairs
Period of report
Feb 26, 2019
Accepted (ET)
Feb 28, 2019 · 9:25 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 | 4,991 | $0.00 | A | 12,361 | D | |
| Common Stock | Feb 26, 2019 | F | 1,739 | $201.48 | D | 10,622 | D | |
| Common StockF3 | Feb 26, 2019 | A | 2,807 | $0.00 | A | 4,015 | I | By Spouse |
| Common StockF3 | Feb 26, 2019 | F | 962 | $201.48 | D | 3,053 | I | By Spouse |
| Common StockF3 | holding | — | — | — | 1,208 | I | By Spouse |
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 | 437 | 437 | D |
| Restricted Stock UnitsF5,F6 | $0.00 | holding | — | — | — | — | — | Common Stock | 512 | 512 | D |
| Restricted Stock UnitsF5,F7 | $0.00 | holding | — | — | — | Dec 31, 2017 | Dec 31, 2019 | Common Stock | 336 | 336 | D |
| Restricted Stock UnitsF5,F8 | $0.00 | holding | — | — | — | Dec 31, 2020 | Dec 31, 2020 | Common Stock | 377 | 377 | I |
| Restricted Stock UnitsF5,F9 | $0.00 | holding | — | — | — | Dec 1, 2020 | Dec 1, 2020 | Common Stock | 242 | 242 | I |
| Restricted Stock UnitsF5,F10 | $0.00 | holding | — | — | — | Dec 31, 2019 | Dec 31, 2019 | Common Stock | 276 | 276 | I |
Explanation of responses
- F1Represents acquisition of beneficial ownership due to the achievement of performance goal under performance share unit award.
- F10The reporting person's spouse was granted 812 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's spouse no later than January 31 following the respective vesting date.
- 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.
- F3The reporting person acquired beneficial ownership of these shares upon her marriage to the owner of the shares on 07/14/2018.
- F4As previously reported, the reporting person was granted 1,283 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 764 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.
- F7As previously reported, the reporting person was granted 986 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.
- F8The reporting person's spouse was granted 563 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's spouse no later than January 31 following the respective vesting date.
- F9The reporting person's spouse was granted 361 restricted stock units granted on 12/01/2017, subject to 3-year vesting. The restricted stock units vested 33% on 12/01/2018 and will vest 33% on 12/01/2019 and 34% on 12/01/2020.