SEC Form 4 · accession 0001209191-18-017191
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
Mar 5, 2018
Accepted (ET)
Mar 6, 2018 · 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 | Mar 5, 2018 | M | 16,907 | $79.55 | A | 84,397 | D | |
| Common Stock | Mar 5, 2018 | S | 16,907 | $161.92 | D | 67,490 | D | |
| Common Stock | Mar 5, 2018 | M | 13,484 | $80.81 | A | 80,974 | D | |
| Common Stock | Mar 5, 2018 | S | 13,484 | $161.92 | D | 67,490 | 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)F2 | $79.55 | Mar 5, 2018 | M | 16,907 | D | Feb 12, 2015 | Feb 12, 2024 | Common Stock | 16,907 | 0 | D |
| Employee stock option (right to buy)F2 | $80.81 | Mar 5, 2018 | M | 13,484 | D | Feb 12, 2017 | Feb 12, 2026 | Common Stock | 13,484 | 0 | D |
Explanation of responses
- F1Exercise and sale of shares pursuant to Rule 10b5-1 Plan.
- F2One fourth of options vest each year beginning with the date indicated.