SEC Form 4 · accession 0000064040-19-000092
S&P Global Inc. · SPGI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alexander Matturri Jr.
Officer — CEO, S&P Dow Jones Indices
Period of report
Mar 6, 2019
Accepted (ET)
Mar 8, 2019 · 4:54 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 | Mar 6, 2019 | M | 1,791 | $21.95 | A | 19,466 | D | |
| Common Stock | Mar 6, 2019 | S | 1,791 | $198.02 | D | 17,675 | D | |
| Common StockF3 | Mar 6, 2019 | J | 14 | $0.00 | A | 17,688 | 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) | $21.95 | Mar 6, 2019 | M | 1,791 | D | Apr 1, 2010 | Mar 31, 2019 | Common Stock | 1,791 | 1,790 | D |
| Options (Right to Buy) | $33.98 | holding | — | — | — | Apr 1, 2011 | Mar 31, 2020 | Common Stock | 5,104 | 5,104 | D |
| Options (Right to Buy) | $37.41 | holding | — | — | — | Apr 1, 2012 | Mar 31, 2021 | Common Stock | 5,560 | 5,560 | D |
| Restricted Stock UnitsF4,F5 | $0.00 | holding | — | — | — | Dec 31, 2017 | Dec 31, 2019 | Common Stock | 316 | 316 | D |
| Options (Right to Buy) | $24.23 | holding | — | — | — | Oct 1, 2010 | Sep 30, 2019 | Common Stock | 2,014 | 2,014 | D |
| Restricted Stock UnitsF4,F6 | $0.00 | holding | — | — | — | — | — | Common Stock | 495 | 495 | 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 11/29/2018.
- F2Shares acquired under SPGI Stock Fund.
- F3Includes shares acquired under SPGI Stock Fund.
- F4Each restricted stock unit represents a contingent right to receive one share of SPGI common stock.
- F5As previously reported, the reporting person was granted 928 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 739 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.