SEC Form 4 · accession 0001209191-18-006808

· MCO

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — President, Moody's Analytics

Period of report

Nov 22, 2017

Accepted (ET)

Feb 2, 2018 · 4:09 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^F1	Nov 22, 2017	G	1,000	$0.00	D	144,826	D
Common Stock	Jan 31, 2018	M	62,500	$38.07	A	207,326	D
Common Stock^F3	Jan 31, 2018	S	9,671	$161.285	D	197,655	D
Common Stock^F4	Jan 31, 2018	S	52,829	$161.805	D	144,826	D
Common Stock^F5	holding	—	—		—	17,682	I	401-K

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee stock option (right to buy)^F6	$38.07	Jan 31, 2018	M	62,500	D	Feb 12, 2009	Feb 12, 2018	Common Stock	62,500	0	D

F1Includes an aggregate of 216 shares of Common Stock purchased by the Reporting Person under the Moody's Corporation 1999 Employee Stock Purchase Plan on February 28, 2017 and March 31, 2017.
F2Exercise and sale of shares pursuant to Rule 10b5-1 Plan.
F3The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $160.63 to $161.62. 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.
F4The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $161.63 to $162.18. 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.
F5As of the last statement dated December 31, 2017.
F6One fourth of the options vested each year beginning with the date indicated.