SEC Form 4 · accession 0001209191-16-147632
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
Oct 31, 2016
Accepted (ET)
Nov 1, 2016 · 4:17 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 | Oct 31, 2016 | M | 1,345 | $38.07 | A | 42,016 | D | |
| Common Stock | Oct 31, 2016 | S | 1,345 | $101.35 | D | 40,671 | D | |
| Common Stock | Oct 31, 2016 | M | 625 | $72.715 | A | 41,296 | D | |
| Common Stock | Oct 31, 2016 | S | 625 | $101.35 | 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)F2 | $38.07 | Oct 31, 2016 | M | 1,345 | D | Feb 12, 2009 | Feb 12, 2018 | Common Stock | 1,345 | 0 | D |
| Employee Stock Option (right to buy)F2 | $72.715 | Oct 31, 2016 | M | 625 | D | Feb 12, 2008 | Feb 12, 2017 | Common Stock | 625 | 0 | D |
Explanation of responses
- F1Exercise and sale of shares pursuant to Rule 10b5-1 Plan.
- F2One fourth of options vest each year beginning with the date indicated.