Statement of Changes in Beneficial Ownership (4)
03 Mai 2023 - 10:43PM
Edgar (US Regulatory)
FORM 4
☐ Check this
box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
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|
1. Name
and Address of Reporting Person *
Steenbergen Ewout L |
2. Issuer Name and Ticker or Trading
Symbol S&P Global Inc. [ SPGI ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
EVP & Chief Financial Officer |
(Last)
(First)
(Middle)
55 WATER STREET |
3. Date of Earliest Transaction (MM/DD/YYYY)
4/28/2023
|
(Street)
NEW YORK, NY 10041 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
(City)
(State)
(Zip)
|
Rule 10b5-1(c) Transaction Indication
☐ Check this box to indicate
that a transaction was made pursuant to a contract, instruction or
written plan that is intended to satisfy the affirmative defense
conditions of Rule 10b5-1(c). See Instruction 10. |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
4/28/2023 |
|
S |
|
5700 |
D |
$355.03 |
27904 |
D |
|
Common Stock |
4/28/2023 |
|
G |
|
850 (1) |
D |
$0 |
27054 |
D |
|
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Restricted Stock Units (2) |
$0.0 |
|
|
|
|
|
|
(3) |
(3) |
Common Stock |
844.0 |
|
844 |
D |
|
Restricted Stock Units (2) |
$0.0 |
|
|
|
|
|
|
(4) |
(4) |
Common Stock |
3108.0 |
|
3108 |
D |
|
Restricted Stock Units (2) |
$0.0 |
|
|
|
|
|
|
(5) |
(5) |
Common Stock |
1801.0 |
|
1801 |
D |
|
Explanation of
Responses: |
(1) |
Represents shares donated by
the reporting person to a charitable donor advised
fund. |
(2) |
Each restricted stock unit
represents a contingent right to receive one share of SPGI common
stock. |
(3) |
As previously reported, the
reporting person was granted 2,482 restricted stock units on
04/01/2021, subject to 3-year vesting. The restricted stock units
vested 33% on 12/31/2021 and 33% on 12/31/2022 and the remaining
34% will vest on 12/31/2023. Vested shares will be delivered to the
reporting person no later than January 31 following the respective
vesting date. |
(4) |
As previously reported, the
reporting person was granted 3,521 restricted stock units on
04/01/2020, subject to 3-year vesting. The restricted stock units
vested 33% on 12/31/2020 and 33% on 12/31/2021 and the remaining
34% vested on 12/31/2022. Vested shares will be delivered to the
reporting person no later than January 31 following the respective
vesting date. |
(5) |
As previously reported, the
reporting person was granted 2,688 restricted stock units on
03/01/2022, subject to 3-year vesting. The restricted stock units
vested 33% on 12/31/2022 and will vest 33% on 12/31/2023 and 34% on
12/31/2024. Vested shares will be delivered to the reporting person
no later than January 31 following the respective vesting
date. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Steenbergen Ewout L
55 WATER STREET
NEW YORK, NY 10041 |
|
|
EVP & Chief Financial Officer |
|
Signatures
|
/s/ Alma Montanez,
Attorney-in-Fact |
|
5/3/2023 |
**Signature of
Reporting Person |
Date |
Reminder: Report on a separate line for each class
of securities beneficially owned directly or
indirectly. |
* |
If the form is filed by more than one
reporting person, see Instruction 4(b)(v). |
** |
Intentional misstatements or omissions
of facts constitute Federal Criminal Violations. See 18
U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: |
File three copies of this Form, one of
which must be manually signed. If space is insufficient, see
Instruction 6 for procedure. |
Persons who respond to the collection of information
contained in this form are not required to respond unless the form
displays a currently valid OMB control number. |
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