SEC Form 4 · accession 0001209191-16-095996
MOODYS CORP /DE/ · MCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph J McCabe
Officer — SVP-Corporate Controller
Period of report
Feb 3, 2016
Accepted (ET)
Feb 5, 2016 · 4:16 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 | Feb 3, 2016 | M | 12,500 | $63.09 | A | 33,953 | D | |
| Common StockF2 | Feb 3, 2016 | S | 7,600 | $83.721 | D | 26,353 | D | |
| Common StockF3 | Feb 3, 2016 | S | 3,471 | $84.932 | D | 22,882 | D | |
| Common StockF4 | Feb 3, 2016 | S | 929 | $85.733 | D | 21,953 | D | |
| Common Stock | Feb 3, 2016 | S | 500 | $86.52 | D | 21,453 | 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)F5 | $63.09 | Feb 3, 2016 | M | 12,500 | D | Feb 8, 2007 | Feb 8, 2016 | Common Stock | 12,500 | 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 $83.25 to $84.22. 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 $84.43 to $85.38. 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.
- F4The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $85.49 to $86.48. 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.
- F5One fourth of options vest each year beginning with the date indicated.