SEC Form 4 · accession 0001209191-15-040495
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
May 7, 2015
Accepted (ET)
May 8, 2015 · 4:03 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 Stock | May 7, 2015 | M | 24,500 | $63.09 | A | 70,339 | D | |
| Common StockF2 | May 7, 2015 | S | 23,300 | $106.585 | D | 47,039 | D | |
| Common StockF3 | May 7, 2015 | S | 1,200 | $107.01 | D | 45,839 | D | |
| Common StockF4 | holding | — | — | — | 1,535 | 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)F5 | $63.09 | May 7, 2015 | M | 24,500 | D | Feb 8, 2007 | Feb 8, 2016 | Common Stock | 24,500 | 0 | D |
Explanation of responses
- F1Exercise and sale 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 $106.98. 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.
- F3The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $106.99 to $107.05. 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.
- F4As of the last statement dated March 31, 2015.
- F5One fourth of the options vested each year beginning with the date indicated.