SEC Form 4 · accession 0001209191-16-136077
MOODYS CORP /DE/ · MCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John J Goggins
Officer — EVP and General Counsel
Period of report
Aug 8, 2016
Accepted (ET)
Aug 9, 2016 · 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 | Aug 8, 2016 | M | 24,250 | $72.715 | A | 75,291 | D | |
| Common StockF2 | Aug 8, 2016 | S | 24,250 | $104.533 | D | 51,041 | D | |
| Common StockF3 | holding | — | — | — | 1,566 | 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)F4 | $72.715 | Aug 8, 2016 | M | 24,250 | D | Feb 12, 2008 | Feb 12, 2017 | Common Stock | 24,250 | 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 $104.34 to $105.11. 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 June 30, 2016.
- F4One fourth of the options vested each year beginning with the date indicated.