SEC Form 4 · accession 0001209191-15-078758
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
Nov 3, 2015
Accepted (ET)
Nov 5, 2015 · 6:03 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 StockF1 | Nov 3, 2015 | S | 10,000 | $96.999 | D | 221,166 | D | |
| Common Stock | Nov 3, 2015 | M | 102,800 | $72.715 | A | 323,966 | D | |
| Common StockF2 | Nov 3, 2015 | S | 102,800 | $97.043 | D | 221,166 | 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 | $72.715 | Nov 3, 2015 | M | 102,800 | D | Feb 12, 2008 | Feb 12, 2017 | Common Stock | 102,800 | 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 $96.85 to $97.04. 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.
- F2The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $96.88 to $97.21. 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.