SEC Form 4 · accession 0001209191-16-141125
MOODYS CORP /DE/ · MCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Basil Anderson
Director
Period of report
Sep 12, 2016
Accepted (ET)
Sep 13, 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 StockF1 | Sep 12, 2016 | A | 131 | $106.48 | A | 38,665 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock Units (Deferred Compensation)F2,F3,F4 | — | Sep 12, 2016 | A | 39 | A | — | — | Common Stock | 39 | 11,806 | D |
Explanation of responses
- F1Restricted Stock deferred dividend reinvestment accrual.
- F2Phantom Stock Units arising out of the Reporting Person's election to defer receipt of retainer fees.
- F3The security converts to common stock on a one-for-one basis.
- F4These units are to be settled in cash after the Reporting Person's retirement.