SEC Form 4 · accession 0001209191-17-034263
MOODYS CORP /DE/ · MCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Blair Worrall
Officer — SVP-Ratings Delivery and Data
Period of report
May 19, 2017
Accepted (ET)
May 22, 2017 · 4:09 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 | May 19, 2017 | M | 5,809 | $38.61 | A | 19,359 | D | |
| Common StockF1 | May 19, 2017 | S | 5,809 | $114.739 | D | 13,550 | D | |
| Common Stock | May 19, 2017 | M | 5,575 | $46.43 | A | 19,125 | D | |
| Common StockF2 | May 19, 2017 | S | 5,575 | $114.775 | D | 13,550 | D | |
| Common StockF3 | holding | — | — | — | 27 | 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 Options (right to buy)F4 | $38.61 | May 19, 2017 | M | 5,809 | D | Feb 13, 2013 | Feb 13, 2022 | Common Stock | 5,809 | 0 | D |
| Employee Stock Options (right to buy)F4 | $46.43 | May 19, 2017 | M | 5,575 | D | Feb 13, 2014 | Feb 13, 2023 | Common Stock | 5,575 | 0 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $114.67 to $114.81. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F2The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $114.67 to $114.99. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F3As of last statement dated March 31, 2017.
- F4One fourth of options vest each year beginning with the date indicated.