SEC Form 4 · accession 0001209191-16-154884
MOODYS CORP /DE/ · MCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Henry A McKinnell
Director
Period of report
Dec 12, 2016
Accepted (ET)
Dec 13, 2016 · 4:03 pm EST
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 | Dec 12, 2016 | A | 177 | $98.21 | A | 121,036 | 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 Performance Shares)F2,F3,F4 | — | Dec 12, 2016 | A | 7 | A | — | — | Common Stock | 7 | 1,805 | 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 earned performance shares.
- F3The security converts to common stock on a one-for-one basis.
- F4These units are to be settled in stock after the Reporting Person's retirement.