SEC Form 4 · accession 0001209191-15-040497
MOODYS CORP /DE/ · MCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lisa Westlake
Officer — SVP & Chief HR Officer
Period of report
May 7, 2015
Accepted (ET)
May 8, 2015 · 4:04 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 | 4,495 | $30.01 | A | 42,110 | D | |
| Common StockF1 | May 7, 2015 | S | 4,495 | $106.879 | D | 37,615 | D | |
| Common Stock | May 7, 2015 | M | 8,000 | $63.09 | A | 45,615 | D | |
| Common StockF1 | May 7, 2015 | S | 8,000 | $106.899 | D | 37,615 | D | |
| Common StockF2 | holding | — | — | — | 31 | 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 | $30.01 | May 7, 2015 | M | 4,495 | D | Feb 8, 2012 | Feb 8, 2021 | Common Stock | 4,495 | 0 | D |
| Employee Stock Option (right to buy)F3 | $63.09 | May 7, 2015 | M | 8,000 | D | Feb 8, 2007 | Feb 8, 2016 | Common Stock | 8,000 | 0 | 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 $106.80 to $106.94. 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 the last statement dated March 31, 2015.
- F3One fourth of options vest each year beginning with the date indicated.