SEC Form 4 · accession 0001209191-16-140433
MOODYS CORP /DE/ · MCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Linda Huber
Officer — Executive VP and CFO
Period of report
Sep 6, 2016
Accepted (ET)
Sep 7, 2016 · 5:07 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 | Sep 6, 2016 | M | 7,078 | $26.78 | A | 63,637 | D | |
| Common StockF2 | Sep 6, 2016 | S | 7,078 | $110.021 | D | 56,559 | D | |
| Common Stock | Sep 6, 2016 | M | 35,100 | $30.01 | A | 91,659 | D | |
| Common StockF3 | Sep 6, 2016 | S | 35,100 | $110.172 | D | 56,559 | D | |
| Common Stock | Sep 6, 2016 | M | 30,284 | $38.61 | A | 86,843 | D | |
| Common StockF4 | Sep 6, 2016 | S | 30,284 | $110.221 | D | 56,559 | D | |
| Common Stock | Sep 6, 2016 | M | 85,000 | $38.07 | A | 141,559 | D | |
| Common StockF5 | Sep 6, 2016 | S | 85,000 | $110.075 | D | 56,559 | D | |
| Common Stock | Sep 6, 2016 | M | 25,133 | $25.37 | A | 81,692 | D | |
| Common Stock | Sep 6, 2016 | S | 25,133 | $110.17 | D | 56,559 | 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)F6 | $26.78 | Sep 6, 2016 | M | 7,078 | D | Feb 9, 2011 | Feb 9, 2020 | Common Stock | 7,078 | 0 | D |
| Employee Stock Option (right to buy)F6 | $30.01 | Sep 6, 2016 | M | 35,100 | D | Feb 8, 2012 | Feb 8, 2021 | Common Stock | 35,100 | 0 | D |
| Employee Stock Option (right to buy)F6 | $38.61 | Sep 6, 2016 | M | 30,284 | D | Feb 13, 2013 | Feb 13, 2022 | Common Stock | 30,284 | 0 | D |
| Employee Stock Option (right to buy)F6 | $38.07 | Sep 6, 2016 | M | 85,000 | D | Feb 12, 2009 | Feb 12, 2018 | Common Stock | 85,000 | 0 | D |
| Employee Stock Option (right to buy)F6 | $25.37 | Sep 6, 2016 | M | 25,133 | D | Feb 10, 2010 | Feb 10, 2019 | Common Stock | 25,133 | 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 $110.00 to $110.21. 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.
- F3The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $110.07 to $110.23. 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.
- F4The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $110.22 to $110.26. 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.
- F5The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $110.00 to $110.16. 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.
- F6One fourth of options vest each year beginning with the date indicated.