11/15/2024 | Press release | Distributed by Public on 11/15/2024 15:05
FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units(2) | $ 0 | (3) | (3) | Common Stock | 524 | 524 | D | ||||||||
Restricted Stock Units(2) | $ 0 | (4) | (4) | Common Stock | 1,190 | 1,190 | D | ||||||||
Restricted Stock Units(2) | $ 0 | (5) | (5) | Common Stock | 1,990 | 1,990 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Saha Saugata 55 WATER STREET NEW YORK, NY 10041 |
President, Market Intelligence |
/s/ Alma Montanez, Attorney-in-Fact | 11/15/2024 |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 07/31/2024. |
(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 1,536 restricted stock units on 03/01/2022, subject to 3-year vesting. The restricted stock units vested 33% on 12/31/2022 and 33% on 12/31/2023 and the remaining 34% will vest on 12/31/2024. 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 1,776 restricted stock units on 03/01/2023, subject to 3-year vesting. The restricted stock units vested 33% on 12/31/2023 and will vest 33% on 12/31/2024 and 34% on 12/31/2025. 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 1,990 restricted stock units on 03/01/2024, subject to 3-year vesting. The restricted stock units will vest 33% on 12/31/2024, 33% on 12/31/2025 and 34% on 12/31/2026. Vested shares will be delivered to the reporting person no later than January 31 following the respective vesting date. |