SEC Form 4 · accession 0001225208-17-004675
S&P Global Inc. · SPGI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John L Berisford
Officer — President, S&P Ratings Service
Period of report
Feb 24, 2017
Accepted (ET)
Feb 27, 2017 · 1:32 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 | Feb 24, 2017 | M | 11,849 | $51.55 | A | 46,863 | D | |
| Common Stock | Feb 24, 2017 | M | 7,195 | $77.81 | A | 54,058 | D | |
| Common StockF1 | Feb 24, 2017 | S | 7,195 | $130.4044 | D | 46,863 | D | |
| Common StockF1 | Feb 24, 2017 | S | 9,559 | $130.4044 | D | 37,304 | D | |
| Common StockF1 | Feb 24, 2017 | S | 11,849 | $130.4044 | D | 25,455 | 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) | $51.55 | Feb 24, 2017 | M | 11,849 | D | Apr 1, 2014 | Mar 31, 2023 | Common Stock | 11,849 | 0 | D |
| Options (Right to Buy) | $77.81 | Feb 24, 2017 | M | 7,195 | D | Apr 1, 2015 | Mar 31, 2024 | Common Stock | 7,195 | 3,707 | D |
| Restricted Stock UnitsF2,F3 | $0.00 | holding | — | — | — | — | — | Common Stock | 2,447 | 2,447 | D |
| Restricted Stock UnitsF2 | $0.00 | holding | — | — | — | Dec 31, 2018 | Dec 31, 2018 | Common Stock | 3,021 | 3,021 | 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 $130.0300 to $130.6700, 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 Security and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4.
- F2Each restricted stock unit represents a contingent right to receive one share of SPGI common stock.
- F3The restricted stock units will vest on December 31, 2017.