SEC Form 4 · accession 0001225208-16-037333
S&P Global Inc. · SPGI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Finbarr J Oneill
Officer — President, JDPA
Period of report
Aug 1, 2016
Accepted (ET)
Aug 2, 2016 · 2:52 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 | Aug 1, 2016 | M | 17,296 | $37.41 | A | 50,772 | D | |
| Common Stock | Aug 1, 2016 | M | 7,282 | $51.55 | A | 58,054 | D | |
| Common StockF1 | Aug 1, 2016 | S | 36,674 | $120.9713 | D | 21,380 | 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 | Aug 1, 2016 | M | 17,296 | D | Apr 1, 2012 | Mar 31, 2021 | Common Stock | 17,296 | 0 | D |
| Options (Right to Buy) | $51.55 | Aug 1, 2016 | M | 7,282 | D | Apr 1, 2014 | Mar 31, 2023 | Common Stock | 7,282 | 0 | D |
| Options (Right to Buy) | $77.81 | holding | — | — | — | Apr 1, 2015 | Mar 31, 2024 | Common Stock | 4,489 | 4,489 | D |
| Restricted Stock UnitsF2 | $0.00 | holding | — | — | — | — | — | Common Stock | 1,144 | 1,144 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $120.8400 to $121.2000, inclusive. The reporting person undertakes to provide to S&P Global Inc., any security holder of S&P Global Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price with the ranges set forth in footnote (1) to this Form 4.
- F2The restricted stock units will vest on December 31, 2017.