Statement of Changes in Beneficial Ownership (4)
February 03 2023 - 04:01PM
Edgar (US Regulatory)
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FORM 4
[ ] 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
Estimated average burden
hours per response... 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 * MCDANIEL RAYMOND
W |
2. Issuer Name and Ticker or Trading
Symbol MOODYS CORP /DE/ [ MCO ] |
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
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(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 |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
|
Code |
V |
Amount |
(A) or (D) |
Price |
|
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 |
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|
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 |
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|
Common Stock |
|
|
|
|
|
|
|
8972 |
I |
Trust I |
|
Common Stock |
|
|
|
|
|
|
|
15175 |
I |
Trust II |
|
Common Stock |
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|
|
|
|
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24599 |
I |
Trust III |
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Common Stock |
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|
|
|
|
|
|
42226 |
I |
Trust IV |
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Common Stock |
|
|
|
|
|
|
|
33222 |
I |
Trust V |
|
Common Stock |
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|
|
|
|
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5562 |
I |
Family Trust 1 |
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Common Stock |
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|
|
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5562 |
I |
Family Trust 2 |
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Common Stock |
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|
|
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1645 |
I |
401-K |
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Common Stock |
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2000 |
I |
Spouse |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
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
|
|
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
|
|
John J. Goggins, by power of attorney for Raymond
W. McDaniel |
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2/3/2023 |
| **Signature of Reporting
Person |
Date |
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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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