SEC Form 4 · accession 0001209191-18-034802
MOODYS CORP /DE/ · MCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John J Goggins
Officer — EVP and General Counsel
Period of report
May 30, 2018
Accepted (ET)
Jun 1, 2018 · 5:52 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 30, 2018 | M | 26,254 | $25.37 | A | 86,173 | D | |
| Common StockF2 | May 30, 2018 | S | 3,100 | $171.656 | D | 83,073 | D | |
| Common StockF3 | May 30, 2018 | S | 11,654 | $172.302 | D | 71,419 | D | |
| Common StockF4 | May 30, 2018 | S | 11,500 | $173.041 | D | 59,919 | D | |
| Common StockF5 | holding | — | — | — | 1,584 | 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 Option (right to buy)F6 | $25.37 | May 30, 2018 | M | 26,254 | D | Feb 10, 2010 | Feb 10, 2019 | Common Stock | 26,254 | 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 $170.88 to $171.86. 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 $171.89 to $172.88. 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 $172.90 to $173.30. 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 March 31, 2018.
- F6One fourth of the options vested each year beginning with the date indicated.