SEC Form 4 · accession 0001209191-17-036865
MOODYS CORP /DE/ · MCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John J Goggins
Officer — EVP and General Counsel
Period of report
May 30, 2017
Accepted (ET)
Jun 1, 2017 · 5:28 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 30, 2017 | M | 50,000 | $38.07 | A | 106,221 | D | |
| Common StockF2 | May 30, 2017 | S | 50,000 | $116.791 | D | 56,221 | D | |
| Common StockF3 | holding | — | — | — | 1,578 | 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)F4 | $38.07 | May 30, 2017 | M | 50,000 | D | Feb 12, 2009 | Feb 12, 2018 | Common Stock | 50,000 | 0 | D |
Explanation of responses
- F1Exercise and sale of shares pursuant to Rule 10b5-1 Plan.
- F2The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $116.55 to $117.42. 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 the last statement dated March 31, 2017.
- F4One fourth of the options vested each year beginning with the date indicated.