Douglas L. Peterson - 14 May 2021 Form 4 Insider Report for S&P Global Inc. (SPGI)

Role
CEO & President, Director
Signature
/s/ Alma Montanez, Attorney-in-Fact
Issuer symbol
SPGI
Transactions as of
14 May 2021
Net transactions value
-$2,653,382
Form type
4
Filing time
18 May 2021, 13:34:57 UTC
Next filing
04 Jan 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SPGI Common Stock Sale $718,238 -1,900 -1.2% $378.02 159,523 14 May 2021 Direct F1, F2
transaction SPGI Common Stock Sale $909,144 -2,400 -1.5% $378.81 157,123 14 May 2021 Direct F1, F3
transaction SPGI Common Stock Sale $1,026,000 -2,700 -1.7% $380.00 154,423 14 May 2021 Direct F1, F4

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding SPGI Options (Right to Buy) 51,304 14 May 2021 Common Stock 51,304 $77.81 Direct F5
holding SPGI Restricted Stock Units 7,720 14 May 2021 Common Stock 7,720 $0.000000 Direct F6, F7
holding SPGI Restricted Stock Units 8,066 14 May 2021 Common Stock 8,066 $0.000000 Direct F6, F8
holding SPGI Restricted Stock Units 3,833 14 May 2021 Common Stock 3,833 $0.000000 Direct F6, F9
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 08/25/2020.
F2 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $377.58 to $378.48, 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 (2) to this Form 4.
F3 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $378.57 to $379.46, 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 (3) to this Form 4.
F4 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $379.66 to $380.14, 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 (4) to this Form 4.
F5 As previously reported, the reporting person was granted 51,304 options on 04/01/2014, which became exercisable in annual installments. The first installment of 33% became exercisable on 04/01/2015, the next 33% installment became exercisable on 04/01/2016 and the remaining 34% installment became exercisable on 04/01/2017.
F6 Each restricted stock unit represents a contingent right to receive one share of SPGI common stock.
F7 As previously reported, the reporting person was granted 11,522 restricted stock units on 04/01/2020, subject to 3-year vesting. The restricted stock units vested 33% on 12/31/2020 and will vest 33% on 12/31/2021 and 34% on 12/31/2022. Vested shares will be delivered to the reporting person no later than January 31 following the respective vesting date.
F8 As previously reported, the reporting person was granted 8,066 restricted stock units on 04/01/2021, subject to 3-year vesting. The restricted stock units will vest 33% on 12/31/2021, 33% on 12/31/2022 and 34% on 12/31/2023. Vested shares will be delivered to the reporting person no later than January 31 following the respective vesting date.
F9 As previously reported, the reporting person was granted 11,273 restricted stock units on 04/01/2019, subject to 3-year vesting. The restricted stock units vested 33% on 12/31/2019 and 33% on 12/31/2020 and the remaining 34% will vest on 12/31/2021. Vested shares will be delivered to the reporting person no later than January 31 following the respective vesting date.