SEC Form 4 · accession 0001209191-18-059151
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
Nov 16, 2018
Accepted (ET)
Nov 19, 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 | Nov 16, 2018 | S | 1,200 | $147.22 | D | 13,943 | D | |
| Common Stock | Nov 16, 2018 | M | 4,361 | $80.81 | A | 18,304 | D | |
| Common StockF1 | Nov 16, 2018 | S | 4,361 | $147.485 | D | 13,943 | D | |
| Common StockF2 | 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)F3 | $80.81 | Nov 16, 2018 | M | 4,361 | D | Feb 12, 2017 | Feb 12, 2026 | Common Stock | 4,361 | 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 $147.48 to $147.54. 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.
- F2As of last statement dated September 30, 2018.
- F3One fourth of options vest each year beginning with the date indicated.