SEC Form 4 · accession 0001225208-16-037289
S&P Global Inc. · SPGI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John F Callahan Jr.
Officer — EVP and CFO
Period of report
Jul 29, 2016
Accepted (ET)
Aug 2, 2016 · 9:12 am 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 | Jul 29, 2016 | M | 20,804 | $51.55 | A | 122,339 | D | |
| Common Stock | Jul 29, 2016 | M | 14,420 | $37.41 | A | 136,759 | D | |
| Common Stock | Jul 29, 2016 | M | 8,465 | $77.81 | A | 145,224 | D | |
| Common StockF1 | Jul 29, 2016 | F | 1,586 | $122.20 | D | 143,638 | D | |
| Common StockF2 | Jul 29, 2016 | F | 4,415 | $122.20 | D | 139,223 | D | |
| Common StockF1 | Jul 29, 2016 | F | 5,160 | $122.20 | D | 134,063 | D | |
| Common StockF2 | Jul 29, 2016 | F | 5,391 | $122.20 | D | 128,672 | D | |
| Common StockF1 | Jul 29, 2016 | F | 6,203 | $122.20 | D | 122,469 | D | |
| Common StockF2 | Jul 29, 2016 | F | 8,777 | $122.20 | D | 113,692 | D | |
| Common StockF3 | Jul 31, 2016 | F | 22,858 | $122.20 | D | 90,834 | 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) | $37.41 | Jul 29, 2016 | M | 14,420 | D | Apr 1, 2012 | Mar 31, 2021 | Common Stock | 14,420 | 0 | D |
| Options (Right to Buy) | $51.55 | Jul 29, 2016 | M | 20,804 | D | Apr 1, 2014 | Mar 31, 2023 | Common Stock | 20,804 | 0 | D |
| Options (Right to Buy) | $77.81 | Jul 29, 2016 | M | 8,465 | D | Apr 1, 2015 | Mar 31, 2024 | Common Stock | 8,465 | 4,361 | D |
| Restricted Stock UnitsF4 | $0.00 | holding | — | — | — | — | — | Common Stock | 3,431 | 3,431 | D |
| Restricted Stock UnitsF5 | $0.00 | holding | — | — | — | Dec 31, 2018 | Dec 31, 2018 | Common Stock | 5,136 | 5,136 | D |
Explanation of responses
- F1Shares withheld to cover applicable taxes in connection with the option exercised.
- F2Shares swapped to pay for the option exercised.
- F3Withholding of shares of Common Stock under the S&P Global 2002 Stock Incentive Plan withholding obligation in transaction exempt under and complying with Rule 16b-3.
- F4The restricted stock units will vest on December 31, 2017.
- F5The restricted stock units will vest on December 31, 2018.