SEC Form 4 · accession 0001225208-17-007535
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
Apr 3, 2017
Accepted (ET)
Apr 4, 2017 · 6:33 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 StockF2 | Apr 3, 2017 | J | 65 | $0.00 | A | 13,706 | 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 UnitsF3,F4 | $0.00 | Apr 3, 2017 | A | 928 | A | Dec 31, 2017 | Dec 31, 2019 | Common Stock | 928 | 928 | 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 the SPGI Stock Fund.
- F3Each restricted stock unit represents a contingent right to receive one share of SPGI common stock.
- F4The 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.