SEC Form 4 · accession 0001209191-15-040493
MOODYS CORP /DE/ · MCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Raymond W McDaniel
Officer — President and CEO · Director
Period of report
May 7, 2015
Accepted (ET)
May 8, 2015 · 4:02 pm EDT
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 StockF2 | May 7, 2015 | S | 10,000 | $106.375 | D | 231,166 | D | |
| Common Stock | May 7, 2015 | M | 38,074 | $63.09 | A | 269,240 | D | |
| Common StockF4 | May 7, 2015 | S | 38,074 | $106.845 | D | 231,166 | D | |
| Common StockF5 | holding | — | — | — | 1,535 | I | 401-K | |
| Common Stock | holding | — | — | — | 2,000 | I | Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Options (right to buy)F6 | $63.09 | May 7, 2015 | M | 38,074 | D | Feb 8, 2007 | Feb 8, 2016 | Common Stock | 38,074 | 0 | D |
Explanation of responses
- F1Sale of shares pursuant to Rule 10b5-1 Plan.
- F2The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $105.98 to $106.77. 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.
- F3Exercise and sale of shares pursuant to Rule 10b5-1 Plan.
- F4The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $106.57 to $107.04. 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.
- F5As of the last statement dated March 31, 2015.
- F6One fourth of the options vested each year beginning with the date indicated.