SEC Form 4 · accession 0001209191-18-029515
MOODYS CORP /DE/ · MCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Blair Worrall
Officer — SVP-Ratings Delivery and Data
Period of report
May 10, 2018
Accepted (ET)
May 11, 2018 · 4:02 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 10, 2018 | M | 3,366 | $79.55 | A | 18,509 | D | |
| Common StockF1 | May 10, 2018 | S | 3,366 | $173.898 | D | 15,143 | D | |
| Common Stock | May 10, 2018 | M | 2,496 | $98.01 | A | 17,639 | D | |
| Common StockF2 | May 10, 2018 | S | 2,496 | $173.796 | D | 15,143 | D | |
| Common StockF3 | holding | — | — | — | 27 | 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 Options (right to buy)F4 | $79.55 | May 10, 2018 | M | 3,366 | D | Feb 12, 2015 | Feb 12, 2024 | Common Stock | 3,366 | 0 | D |
| Employee Stock Options (right to buy)F4 | $98.01 | May 10, 2018 | M | 2,496 | D | Feb 11, 2016 | Feb 11, 2025 | Common Stock | 2,496 | 0 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $173.89 to $173.93. 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.
- F2The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $173.79 to $173.85. 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 last statement dated March 31, 2018.
- F4One fourth of options vest each year beginning with the date indicated.