SEC Form 4 · accession 0001209191-16-136980
MOODYS CORP /DE/ · MCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Blair Worrall
Officer — SVP-Ratings Delivery and Data
Period of report
Aug 11, 2016
Accepted (ET)
Aug 15, 2016 · 4:02 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 11, 2016 | M | 2,230 | $38.07 | A | 13,062 | D | |
| Common Stock | Aug 11, 2016 | S | 2,230 | $105.00 | D | 10,832 | D | |
| Common Stock | Aug 12, 2016 | M | 6,454 | $26.78 | A | 17,286 | D | |
| Common StockF1 | Aug 12, 2016 | S | 6,454 | $102.991 | D | 10,832 | D | |
| Common Stock | Aug 12, 2016 | M | 2,370 | $38.07 | A | 13,202 | D | |
| Common StockF2 | Aug 12, 2016 | S | 2,370 | $102.982 | D | 10,832 | D | |
| Common StockF3 | holding | — | — | — | 624 | 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 Options (right to buy)F4 | $38.07 | Aug 11, 2016 | M | 2,230 | D | Feb 12, 2009 | Feb 12, 2018 | Common Stock | 2,230 | 0 | D |
| Employee Stock Options (right to buy)F4 | $26.78 | Aug 12, 2016 | M | 6,454 | D | Feb 9, 2011 | Feb 9, 2020 | Common Stock | 6,454 | 0 | D |
| Employee Stock Options (right to buy)F4 | $38.07 | Aug 12, 2016 | M | 2,370 | D | Feb 12, 2009 | Feb 12, 2018 | Common Stock | 2,370 | 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 $102.99 to $103.00. 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 $102.98 to $102.99. 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 last statement dated June 30, 2016.
- F4One fourth of options vest each year beginning with the date indicated.