SEC Form 4 · accession 0001209191-17-041063
MOODYS CORP /DE/ · MCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Linda Huber
Officer — Executive VP and CFO
Period of report
Jun 19, 2017
Accepted (ET)
Jun 20, 2017 · 4:07 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 | Jun 19, 2017 | M | 13,697 | $46.43 | A | 77,835 | D | |
| Common StockF2 | Jun 19, 2017 | S | 13,697 | $122.047 | D | 64,138 | 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)F3 | $46.43 | Jun 19, 2017 | M | 13,697 | D | Feb 13, 2014 | Feb 13, 2023 | Common Stock | 13,697 | 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 $121.66 to $122.50. 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.
- F3One fourth of options vest each year beginning with the date indicated.