SEC Form 4 · accession 0001225208-16-042310
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
Nov 23, 2016
Accepted (ET)
Nov 28, 2016 · 5:38 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 | Nov 23, 2016 | M | 3,761 | $36.91 | A | 15,443 | D | |
| Common Stock | Nov 23, 2016 | M | 1,729 | $67.19 | A | 17,172 | D | |
| Common StockF2 | Nov 23, 2016 | J | 13 | $0.00 | A | 17,185 | D | |
| Common StockF2 | Nov 23, 2016 | F | 3,554 | $120.00 | D | 13,631 | 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) | $36.91 | Nov 23, 2016 | M | 3,761 | D | Apr 1, 2009 | Mar 31, 2018 | Common Stock | 3,761 | 0 | D |
| Options (Right to Buy) | $67.19 | Nov 23, 2016 | M | 1,729 | D | Jun 1, 2008 | May 31, 2017 | Common Stock | 1,729 | 0 | D |
| Options (Right to Buy) | $21.95 | holding | — | — | — | Apr 1, 2010 | Mar 31, 2019 | Common Stock | 5,372 | 5,372 | D |
| Options (Right to Buy) | $24.23 | holding | — | — | — | Oct 1, 2010 | Sep 30, 2019 | Common Stock | 2,014 | 2,014 | 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 UnitsF3 | $0.00 | holding | — | — | — | Dec 31, 2017 | Dec 31, 2017 | Common Stock | 810 | 810 | D |
| Restricted Stock UnitsF3 | $0.00 | holding | — | — | — | Dec 31, 2018 | Dec 31, 2018 | Common Stock | 967 | 967 | D |
Explanation of responses
- F1Shares acquired under SPGI Stock Fund.
- F2Includes shares acquired under SPGI Stock Fund.
- F3Each restricted stock unit represents a contingent right to receive one share of SPGI common stock.