SEC Form 4 · accession 0001209191-19-016412
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 1, 2019
Accepted (ET)
Mar 5, 2019 · 4:09 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 StockF1 | Mar 1, 2019 | A | 54,772 | $0.00 | A | 217,705 | D | |
| Common StockF2 | Mar 1, 2019 | F | 32,102 | $175.32 | D | 185,603 | D | |
| Common Stock | Mar 4, 2019 | M | 44,146 | $26.78 | A | 229,749 | D | |
| Common StockF4 | Mar 4, 2019 | S | 2,316 | $173.297 | D | 227,433 | D | |
| Common StockF5 | Mar 4, 2019 | S | 14,275 | $174.702 | D | 213,158 | D | |
| Common StockF6 | Mar 4, 2019 | S | 20,305 | $175.348 | D | 192,853 | D | |
| Common StockF7 | Mar 4, 2019 | S | 6,650 | $176.342 | D | 186,203 | D | |
| Common Stock | Mar 4, 2019 | S | 600 | $177.00 | D | 185,603 | D | |
| Common Stock | holding | — | — | — | 69,837 | I | Trust 1 | |
| Common Stock | holding | — | — | — | 23,080 | I | Trust 2 | |
| Common StockF8 | holding | — | — | — | 1,603 | 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)F9 | $26.78 | Mar 4, 2019 | M | 44,146 | D | Feb 9, 2011 | Feb 9, 2020 | Common Stock | 44,146 | 0 | D |
Explanation of responses
- F1Receipt of shares acquired upon settlement of 2016-2018 Performance Shares.
- F2Disposition of shares to satisfy tax withholding obligation.
- F3Exercise and sale of shares pursuant to Rule 10b5-1 Plan.
- F4The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $172.93 to $173.50. 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.
- F5The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $173.93 to $174.92. 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.
- F6The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $174.94 to $175.90. 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.
- F7The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $175.98 to $176.94. 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.
- F8As of the last statement dated December 31, 2018.
- F9One fourth of the options vest each year beginning with the date indicated.