SEC Form 4 · accession 0001225208-17-007410
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
Apr 3, 2017
Accepted (ET)
Apr 4, 2017 · 4:35 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 | holding | — | — | — | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | $0.00 | Apr 3, 2017 | A | 13,916 | A | Dec 31, 2017 | Dec 31, 2019 | Common Stock | 13,916 | 13,916 | 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 UnitsF1,F3 | $0.00 | holding | — | — | — | — | — | Common Stock | 13,440 | 13,440 | D |
| Restricted Stock UnitsF1 | $0.00 | holding | — | — | — | Dec 31, 2018 | Dec 31, 2018 | Common Stock | 14,501 | 14,501 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of SPGI common stock.
- F2The restricted stock units will vest 33% on 12/31/2017, 33% on 12/31/2018 and 34% on 12/31/2019. Vested shares will be delivered to the reporting person no later than January 31 following the respective vesting date.
- F3The restricted stock units will vest on December 31, 2017.