SEC Form 4 · accession 0001209191-18-017680
MOODYS CORP /DE/ · MCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Raymond W McDaniel
Officer — President and CEO · Director
Period of report
Mar 6, 2018
Accepted (ET)
Mar 7, 2018 · 4:08 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 6, 2018 | M | 45,216 | $25.37 | A | 149,012 | D | |
| Common StockF2 | Mar 6, 2018 | S | 28,755 | $165.022 | D | 120,257 | D | |
| Common StockF3 | Mar 6, 2018 | S | 15,961 | $165.67 | D | 104,296 | D | |
| Common StockF4 | Mar 6, 2018 | S | 200 | $167.025 | D | 104,096 | D | |
| Common Stock | Mar 6, 2018 | S | 300 | $167.98 | D | 103,796 | D | |
| Common Stock | holding | — | — | — | 163,009 | I | Trust | |
| Common StockF5 | holding | — | — | — | 1,582 | I | 401-K | |
| Common Stock | holding | — | — | — | 2,000 | I | Spouse |
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)F6 | $25.37 | Mar 6, 2018 | M | 45,216 | D | Feb 10, 2010 | Feb 10, 2019 | Common Stock | 45,216 | 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 $164.42 to $165.41. 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.
- F3The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $165.42 to $166.37. 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 $166.63 to $167.42. 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.
- F5As of the last statement dated December 31, 2017.
- F6One fourth of the options vested each year beginning with the date indicated.