SEC Form 4 · accession 0001209191-16-143588
MOODYS CORP /DE/ · MCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Fauber
Officer — President-MIS
Period of report
Sep 30, 2016
Accepted (ET)
Oct 3, 2016 · 4:05 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 30, 2016 | M | 403 | $30.01 | A | 41,074 | D | |
| Common Stock | Sep 30, 2016 | S | 403 | $108.37 | D | 40,671 | D | |
| Common Stock | Sep 30, 2016 | M | 942 | $38.07 | A | 41,613 | D | |
| Common Stock | Sep 30, 2016 | S | 942 | $108.37 | D | 40,671 | D | |
| Common Stock | Sep 30, 2016 | M | 625 | $72.715 | A | 41,296 | D | |
| Common Stock | Sep 30, 2016 | S | 625 | $108.37 | D | 40,671 | 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)F3 | $30.01 | Sep 30, 2016 | M | 403 | D | Feb 8, 2012 | Feb 8, 2021 | Common Stock | 403 | 0 | D |
| Employee Stock Option (right to buy)F3 | $38.07 | Sep 30, 2016 | M | 942 | D | Feb 12, 2009 | Feb 12, 2018 | Common Stock | 942 | 0 | D |
| Employee Stock Option (right to buy)F3 | $72.715 | Sep 30, 2016 | M | 625 | D | Feb 12, 2008 | Feb 12, 2017 | Common Stock | 625 | 0 | D |
Explanation of responses
- F1Sale of shares pursuant to a Rule 10b5-1 Plan
- F2Exercise and sale of shares pursuant to Rule 10b5-1 Plan.
- F3One fourth of options vest each year beginning with the date indicated.