SEC Form 4 · accession 0001225208-16-033963
S&P Global Inc. · SPGI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas L. Peterson
Officer — CEO & President, MH Financial · Director
Period of report
May 24, 2016
Accepted (ET)
May 25, 2016 · 2:08 pm EDT
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 | May 24, 2016 | M | 25,000 | $38.13 | A | 117,948 | D | |
| Common StockF1 | May 24, 2016 | F | 8,538 | $111.66 | D | 109,410 | D | |
| Common StockF2 | May 24, 2016 | F | 9,190 | $111.66 | D | 100,220 | 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) | $38.13 | May 24, 2016 | M | 25,000 | D | Oct 3, 2012 | Oct 2, 2021 | Common Stock | 25,000 | 28,368 | D |
| Options (Right to Buy) | $51.55 | holding | — | — | — | Apr 1, 2014 | Mar 31, 2023 | Common Stock | 31,207 | 31,207 | D |
| Options (Right to Buy) | $77.81 | holding | — | — | — | Apr 1, 2015 | Mar 31, 2024 | Common Stock | 51,304 | 51,304 | D |
| Restricted Stock UnitsF3 | $0.00 | holding | — | — | — | — | — | Common Stock | 13,440 | 13,440 | D |
| Restricted Stock Units | $0.00 | holding | — | — | — | Dec 31, 2018 | Dec 31, 2018 | Common Stock | 14,501 | 14,501 | D |
Explanation of responses
- F1Shares swapped to pay for the option exercised.
- F2The number of shares withheld to cover applicable taxes in conncenction with the option exercised.
- F3The restricted stock units will vest on December 31, 2017.