SEC Form 4 · accession 0000064040-19-000088
S&P Global Inc. · SPGI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nicholas Cafferillo
Officer — Chief Technology Officer
Period of report
Feb 26, 2019
Accepted (ET)
Feb 28, 2019 · 9:28 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 | 17,583 | D | |
| Common Stock | Feb 26, 2019 | F | 1,746 | $201.48 | D | 15,837 | D | |
| Common Stock | holding | — | — | — | 4,174 | I | By Family Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F4 | $0.00 | holding | — | — | — | — | — | Common Stock | 592 | 592 | D |
| Restricted Stock UnitsF3,F5 | $0.00 | holding | — | — | — | — | — | Common Stock | 354 | 354 | D |
| Restricted Stock UnitsF3,F6 | $0.00 | holding | — | — | — | — | — | Common Stock | 1,070 | 1,070 | 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.
- F3Each restricted stock unit represents a contingent right to receive one share of SPGI common stock.
- F4As previously reported, the reporting person was granted 884 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.
- F5As previously reported, the reporting person was granted 1,044 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.
- F6As previously reported, the reporting person was granted 1,597 restricted stock units on 11/01/2017, subject to 3-year vesting. The restricted stock units vested 33% on 11/01/2018 and will vest 33% on 11/01/2019 and 34% on 11/01/2020.