Amended Statement of Changes in Beneficial Ownership (4/a)
March 24 2023 - 04:01PM
Edgar (US Regulatory)
FORM 4
☐ Check this
box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
|
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)
|
(Last)
(First)
(Middle)
7 WORLD TRADE CENTER, 250 GREENWICH STREET |
3. Date of Earliest Transaction (MM/DD/YYYY)
3/2/2023
|
(Street)
NEW YORK, NY 10007 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
3/3/2023
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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 |
(City)
(State)
(Zip)
|
Rule 10b5-1(c) Transaction Indication
☐ Check this box to indicate
that a transaction was made pursuant to a contract, instruction or
written plan that is intended to satisfy the affirmative defense
conditions of Rule 10b5-1(c). See Instruction 10. |
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 |
|
|
|
|
|
|
|
92858.794 |
D |
|
Common Stock |
|
|
|
|
|
|
|
10818 |
I |
Trust I |
Common Stock |
|
|
|
|
|
|
|
0 |
I |
Trust II |
Common Stock |
|
|
|
|
|
|
|
24599 |
I |
Trust III |
Common Stock |
|
|
|
|
|
|
|
42226 |
I |
Trust IV |
Common Stock |
|
|
|
|
|
|
|
33222 |
I |
Trust V |
Common Stock |
3/2/2023 |
|
S(1) |
|
5562 |
D |
$297.09 (1) |
0 |
I |
Family Trust 1 |
Common Stock |
3/2/2023 |
|
S(1) |
|
5562 |
D |
$297.09 (1) |
0 |
I |
Family Trust 2 |
Common Stock |
|
|
|
|
|
|
|
1645 (2) |
I |
401-K |
Common Stock |
|
|
|
|
|
|
|
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 |
Explanation of
Responses: |
(1) |
The reporting person
contributed common stock to an exchange fund in exchange for shares
of the exchange fund. The closing of the exchange fund was subject
to conditions not controlled by the reporting person, and occurred
on March 21, 2023 with a valuation of $297.09 per share, which was
reported to the reporting person on March 22, 2023. |
(2) |
As of the last statement
dated December 31, 2022. |
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 |
|
|
|
Signatures
|
John J. Goggins, by power of attorney for Raymond
W. McDaniel |
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3/24/2023 |
**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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