SEC Form 4 · accession 0001209191-15-013498
MOODYS CORP /DE/ · MCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John J Goggins
Officer — EVP and General Counsel
Period of report
Feb 11, 2015
Accepted (ET)
Feb 13, 2015 · 4:13 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001059556
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 12, 2015 | M | 43,550 | $41.6875 | A | 81,606 | D | |
| Common StockF1 | Feb 12, 2015 | S | 43,550 | $98.184 | D | 38,056 | D | |
| Common StockF2 | holding | — | — | — | 1,532 | I | 401-K |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F3 | $41.6875 | Feb 12, 2015 | M | 43,550 | D | Feb 22, 2006 | Feb 22, 2015 | Common Stock | 43,550 | 0 | D |
| Employee Stock Option (right to buy)F3 | $98.01 | Feb 11, 2015 | A | 10,216 | A | Feb 11, 2016 | Feb 11, 2025 | Common Stock | 10,216 | 10,216 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $97.78 to $98.50. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F2As of last statement dated December 31, 2014.
- F3One fourth of options vest each year beginning with the date indicated.