SEC Form 4 · accession 0001209191-17-016502
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
Feb 28, 2017
Accepted (ET)
Mar 2, 2017 · 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 Stock | Feb 28, 2017 | M | 1,345 | $38.07 | A | 44,310 | D | |
| Common Stock | Feb 28, 2017 | S | 1,345 | $111.91 | D | 42,965 | D | |
| Common StockF2 | Mar 1, 2017 | A | 3,537 | $112.91 | A | 46,502 | D | |
| Common StockF3 | Mar 1, 2017 | F | 3,292 | $112.91 | D | 43,210 | 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)F4 | $38.07 | Feb 28, 2017 | M | 1,345 | D | Feb 12, 2009 | Feb 12, 2018 | Common Stock | 1,345 | 0 | D |
Explanation of responses
- F1Exercise and sale of shares pursuant to Rule 10b5-1 Plan.
- F2Receipt of shares acquired upon settlement of 2014-2016 Performance Shares.
- F3Disposition of vested performance accelerated restricted stock and vested performance shares.
- F4One fourth of options vest each year beginning with the date indicated.