SEC Form 4 · accession 0001209191-15-080255
MOODYS CORP /DE/ · MCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Fauber
Officer — SVP-Corp & Comm Development
Period of report
Nov 13, 2015
Accepted (ET)
Nov 16, 2015 · 4:02 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 Stock | Nov 13, 2015 | M | 6,000 | $63.09 | A | 43,400 | D | |
| Common StockF1 | Nov 13, 2015 | S | 6,000 | $97.225 | D | 37,400 | D |
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)F2 | $63.09 | Nov 13, 2015 | M | 6,000 | D | Feb 8, 2007 | Feb 8, 2016 | Common Stock | 6,000 | 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 $97.20 to $97.23. 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.
- F2One fourth of options vest each year beginning with the date indicated.