SEC Form 4 · accession 0001209191-18-062523
MOODYS CORP /DE/ · MCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Vincent A Forlenza
Director
Period of report
Dec 12, 2018
Accepted (ET)
Dec 13, 2018 · 6:48 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001059556
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock Units (Deferred Compensation)F1,F2,F3 | — | Dec 12, 2018 | A | 1 | A | — | — | Common Stock | 1 | 466 | D |
| Dividend EquivalentF4 | — | Dec 12, 2018 | A | 3 | A | — | — | Common Stock | 3 | 9 | D |
Explanation of responses
- F1Phantom Stock Units arising out of the Reporting Person's election to defer receipt of retainer fees.
- F2The security converts to common stock on a one-for-one basis.
- F3These units are to be settled in cash after the Reporting Person's retirement.
- F4Dividend Equivalents accrued on exempt grant of unvested RSUs, which will vest and settle with the underlying award