SEC Form 4 · accession 0001209191-15-077528
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
Oct 29, 2015
Accepted (ET)
Oct 30, 2015 · 6:05 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 | Oct 29, 2015 | M | 18,766 | $63.09 | A | 249,932 | D | |
| Common StockF2 | Oct 29, 2015 | S | 18,766 | $101.03 | D | 231,166 | D | |
| Common StockF3 | holding | — | — | — | 1,546 | 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)F4 | $63.09 | Oct 29, 2015 | M | 18,766 | D | Feb 8, 2007 | Feb 8, 2016 | Common Stock | 18,766 | 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 $101.00 to $101.09. 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.
- F3As of the last statement dated September 30, 2015.
- F4One fourth of the options vested each year beginning with the date indicated.