Statement of Changes in Beneficial Ownership (4)
February 03 2023 - 4:01PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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MCDANIEL RAYMOND W |
2. Issuer Name and Ticker or Trading Symbol
MOODYS CORP /DE/
[
MCO
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
7 WORLD TRADE CENTER, 250 GREENWICH STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/2/2023 |
(Street)
NEW YORK, NY 10007
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 2/2/2023 | | M(1) | | 38454 | A | $98.01 | 105728.794 | D | |
Common Stock | 2/2/2023 | | S(1) | | 1217 | D | $327.2593 (2) | 104511.794 | D | |
Common Stock | 2/2/2023 | | S(1) | | 4450 | D | $328.6125 (3) | 100061.794 | D | |
Common Stock | 2/2/2023 | | S(1) | | 11804 | D | $329.8055 (4) | 88257.794 | D | |
Common Stock | 2/2/2023 | | S(1) | | 1845 | D | $330.5824 (5) | 86412.794 | D | |
Common Stock | 2/2/2023 | | S(1) | | 2300 | D | $331.6363 (6) | 84112.794 | D | |
Common Stock | 2/2/2023 | | S(1) | | 1100 | D | $332.7595 (7) | 83012.794 | D | |
Common Stock | 2/2/2023 | | S(1) | | 4368 | D | $333.9872 (8) | 78644.794 | D | |
Common Stock | 2/2/2023 | | S(1) | | 8522 | D | $334.6613 (9) | 70122.794 | D | |
Common Stock | 2/2/2023 | | S(1) | | 2848 | D | $335.4632 (10) | 67274.794 | D | |
Common Stock | | | | | | | | 8972 | I | Trust I |
Common Stock | | | | | | | | 15175 | I | Trust II |
Common Stock | | | | | | | | 24599 | I | Trust III |
Common Stock | | | | | | | | 42226 | I | Trust IV |
Common Stock | | | | | | | | 33222 | I | Trust V |
Common Stock | | | | | | | | 5562 | I | Family Trust 1 |
Common Stock | | | | | | | | 5562 | I | Family Trust 2 |
Common Stock | | | | | | | | 1645 | I | 401-K |
Common Stock | | | | | | | | 2000 | I | Spouse |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Options (right to buy) | $98.01 | 2/2/2023 | | M | | | 38454 | 2/11/2016 (11) | 2/11/2025 | Common Stock | 38454 | $0.00 | 38454 | D | |
Explanation of Responses: |
(1) | Exercise and sale of shares pursuant to Rule 10b5-1 Plan. |
(2) | The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $326.985 to $327.900. 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. |
(3) | The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $328.170 to $329.165. 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. |
(4) | The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $329.170 to $330.140. 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. |
(5) | The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $330.230 to $331.220. 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. |
(6) | The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $331.230 to $332.120. 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. |
(7) | The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $332.230 to $333.130. 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. |
(8) | The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $333.335 to $334.330. 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. |
(9) | The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $334.340 to $335.335. 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. |
(10) | The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from
$$335.345 to $335.730. 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. |
(11) | One fourth of options vest each year beginning with the date indicated. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
MCDANIEL RAYMOND W 7 WORLD TRADE CENTER 250 GREENWICH STREET NEW YORK, NY 10007 | X |
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Signatures
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John J. Goggins, by power of attorney for Raymond W. McDaniel | | 2/3/2023 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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