SEC Form 4 · accession 0001225208-17-006285
S&P Global Inc. · SPGI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas L. Peterson
Officer — CEO & President · Director
Period of report
Mar 14, 2017
Accepted (ET)
Mar 15, 2017 · 4:03 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 | Mar 14, 2017 | M | 28,368 | $38.13 | A | 155,146 | D | |
| Common StockF1 | Mar 14, 2017 | F | 8,184 | $132.17 | D | 146,962 | D | |
| Common StockF2 | Mar 14, 2017 | F | 11,267 | $132.17 | D | 135,695 | 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 | Mar 14, 2017 | M | 28,368 | D | Oct 3, 2012 | Oct 2, 2021 | Common Stock | 28,368 | 0 | 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,F4 | $0.00 | holding | — | — | — | — | — | Common Stock | 13,440 | 13,440 | D |
| Restricted Stock UnitsF3 | $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 connection with the option exercised
- F3Each restricted stock unit represents a contingent right to receive one share of SPGI common stock.
- F4The restricted stock units will vest on December 31, 2017.