SEC Form 4 · accession 0001209191-17-014768
MOODYS CORP /DE/ · MCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lisa Westlake
Officer — SVP & Chief HR Officer
Period of report
Feb 23, 2017
Accepted (ET)
Feb 27, 2017 · 4:29 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 | Feb 23, 2017 | A | 1,412 | $113.34 | A | 21,662 | D | |
| Common StockF2 | holding | — | — | — | 46 | I | 401-K |
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 | $113.34 | Feb 23, 2017 | A | 5,355 | A | Feb 23, 2018 | Feb 23, 2027 | Common Stock | 5,355 | 5,355 | D |
Explanation of responses
- F1Exempt grant of performance accelerated restricted stock.
- F2As of the last statement dated December 31, 2016.
- F3One fourth of the options vest each year beginning with the date indicated.