Nicholas Cafferillo — SEC Insider Profile, Roles & Companies

Insider at

SPGI selling Oct. 31, 2019

Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 30 non-open-market transactions below last 12 months, based on the transactions shown below

Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted

30 other filings hidden

Date	Ticker	Code	Shares	Price	Value	Owned after	Δ own	A/D	vs now
Dec. 31, 2019	SPGI	M	465	·	·	944 Direct	-33.00%	Disposed	(price as of 2026-10-02)
Dec. 31, 2019	SPGI	M	292	·	·	300 Direct	-49.32%	Disposed	(price as of 2026-10-02)
Dec. 31, 2019	SPGI	M	354	·	·	0 Direct	-100.00%	Disposed	(price as of 2026-10-02)
Dec. 31, 2019	SPGI	F	141	$273.05	$38,500	3,741 Direct	-3.63%	Disposed	49.5% (price as of 2026-10-02)
Dec. 31, 2019	SPGI	M	465	$273.05	$126,968	3,882 Direct	+13.61%	Acquired	49.5% (price as of 2026-10-02)
Dec. 31, 2019	SPGI	F	96	$273.05	$26,213	3,417 Direct	-2.73%	Disposed	49.5% (price as of 2026-10-02)
Dec. 31, 2019	SPGI	M	292	$273.05	$79,731	3,513 Direct	+9.07%	Acquired	49.5% (price as of 2026-10-02)
Dec. 31, 2019	SPGI	F	127	$273.05	$34,677	3,221 Direct	-3.79%	Disposed	49.5% (price as of 2026-10-02)
Dec. 31, 2019	SPGI	M	354	$273.05	$96,660	3,348 Direct	+11.82%	Acquired	49.5% (price as of 2026-10-02)
Nov. 1, 2019	SPGI	M	527	·	·	543 Direct	-49.25%	Disposed	(price as of 2026-10-02)
Nov. 1, 2019	SPGI	F	240	$258.80	$62,112	2,994 Direct	-7.42%	Disposed	57.8% (price as of 2026-10-02)
Nov. 1, 2019	SPGI	M	527	$258.80	$136,388	3,234 Direct	+19.47%	Acquired	57.8% (price as of 2026-10-02)
Oct. 31, 2019	SPGI	S	3,219	$257.90	$830,180	2,707 Direct	-54.32%	Disposed	58.3% (price as of 2026-10-02)
Aug. 8, 2019	SPGI	S	1,528	$253.55	$387,424	5,926 Direct	-20.50%	Disposed	61.0% (price as of 2026-10-02)
Aug. 8, 2019	SPGI	S	8,383	$252.84	$2,119,558	7,454 Direct	-52.93%	Disposed	61.5% (price as of 2026-10-02)
April 1, 2019	SPGI	A	1,409	·	·	1,409 Direct	·	Acquired	(price as of 2026-10-02)
Feb. 26, 2019	SPGI	F	1,746	$201.48	$351,784	15,837 Direct	-9.93%	Disposed	102.6% (price as of 2026-10-02)
Feb. 26, 2019	SPGI	A	4,991	·	·	17,583 Direct	+39.64%	Acquired	(price as of 2026-10-02)
Dec. 31, 2018	SPGI	M	292	·	·	592 Direct	-33.03%	Disposed	(price as of 2026-10-02)
Dec. 31, 2018	SPGI	M	345	·	·	354 Direct	-49.36%	Disposed	(price as of 2026-10-02)
Dec. 31, 2018	SPGI	M	1,208	·	·	0 Direct	-100.00%	Disposed	(price as of 2026-10-02)
Dec. 31, 2018	SPGI	F	88	$169.94	$14,955	12,592 Direct	-0.69%	Disposed	140.3% (price as of 2026-10-02)
Dec. 31, 2018	SPGI	F	104	$169.94	$17,674	12,680 Direct	-0.81%	Disposed	140.3% (price as of 2026-10-02)
Dec. 31, 2018	SPGI	F	402	$169.94	$68,316	12,784 Direct	-3.05%	Disposed	140.3% (price as of 2026-10-02)
Dec. 31, 2018	SPGI	M	292	$169.94	$49,622	13,186 Direct	+2.26%	Acquired	140.3% (price as of 2026-10-02)
Dec. 31, 2018	SPGI	M	345	$169.94	$58,629	12,894 Direct	+2.75%	Acquired	140.3% (price as of 2026-10-02)
Dec. 31, 2018	SPGI	M	1,208	$169.94	$205,288	12,549 Direct	+10.65%	Acquired	140.3% (price as of 2026-10-02)
Nov. 1, 2018	SPGI	M	527	·	·	1,070 Direct	-33.00%	Disposed	(price as of 2026-10-02)
Nov. 1, 2018	SPGI	F	238	$182.77	$43,499	11,341 Direct	-2.06%	Disposed	123.4% (price as of 2026-10-02)
Nov. 1, 2018	SPGI	M	527	$182.77	$96,320	11,579 Direct	+4.77%	Acquired	123.4% (price as of 2026-10-02)
April 2, 2018	SPGI	A	884	·	·	884 Direct	·	Acquired	(price as of 2026-10-02)
Feb. 27, 2018	SPGI	F	2,312	$193.14	$446,540	11,052 Direct	-17.30%	Disposed	111.4% (price as of 2026-10-02)
Feb. 27, 2018	SPGI	A	6,336	·	·	13,364 Direct	+90.15%	Acquired	(price as of 2026-10-02)

P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding

Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.

Derivative holdings (Form 4 Table II) Options, RSUs and convertible securities reported on Form 4 Table II.

Date	Ticker	Security	Underlying	Exercise price	Expiration	Shares	A/D
Dec. 31, 2019	SPGI	Restricted Stock Units [F1]	Common Stock (465)	$0.00	·	465	Disposed
Dec. 31, 2019	SPGI	Restricted Stock Units [F1]	Common Stock (292)	$0.00	·	292	Disposed
Dec. 31, 2019	SPGI	Restricted Stock Units [F1]	Common Stock (354)	$0.00	·	354	Disposed
Nov. 1, 2019	SPGI	Restricted Stock Units [F1]	Common Stock (527)	$0.00	·	527	Disposed
April 1, 2019	SPGI	Restricted Stock Units [F1]	Common Stock (1,409)	$0.00	·	1,409	Acquired
Dec. 31, 2018	SPGI	Restricted Stock Units [F1]	Common Stock (292)	$0.00	·	292	Disposed
Dec. 31, 2018	SPGI	Restricted Stock Units [F1]	Common Stock (345)	$0.00	·	345	Disposed
Dec. 31, 2018	SPGI	Restricted Stock Units [F1]	Common Stock (1,208)	$0.00	Dec. 31, 2018	1,208	Disposed
Nov. 1, 2018	SPGI	Restricted Stock Units [F1]	Common Stock (527)	$0.00	·	527	Disposed
April 2, 2018	SPGI	Restricted Stock Units [F1]	Common Stock (884)	$0.00	·	884	Acquired

Exercise/conversion price is blank when not applicable (e.g. RSUs).

Initial ownership (Form 3) 5 holdings

Securities held when first becoming an insider, per SEC Form 3.

Date	Ticker	Security	Shares	Ownership
Jan. 10, 2018	SPGI	Common Stock	7,028	Direct
Jan. 10, 2018	SPGI	Common Stock	4,174	Indirect
Jan. 10, 2018	SPGI	Restricted Stock Units [F1]→ Common Stock (1,208)	1,208	Direct
Jan. 10, 2018	SPGI	Restricted Stock Units [F1]→ Common Stock (699)	699	Direct
Jan. 10, 2018	SPGI	Restricted Stock Units [F1]→ Common Stock (1,597)	1,597	Direct