Robert Fauber - Aug 16, 2023 Form 4 Insider Report for MOODYS CORP /DE/ (MCO)

Signature
Elizabeth McCarroll, by power of attorney for Robert Fauber
Stock symbol
MCO
Transactions as of
Aug 16, 2023
Transactions value $
-$706,076
Form type
4
Date filed
8/17/2023, 04:09 PM
Previous filing
Jul 19, 2023
Next filing
Sep 1, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction MCO Common Stock Sale -$331K -1K -1.52% $331.23 64.8K Aug 16, 2023 Direct F1
transaction MCO Common Stock Options Exercise $74.4K +759 +1.17% $98.01 65.6K Aug 16, 2023 Direct F1
transaction MCO Common Stock Sale -$251K -759 -1.16% $331.23 64.8K Aug 16, 2023 Direct F1
transaction MCO Common Stock Options Exercise $63.8K +790 +1.22% $80.81* 65.6K Aug 16, 2023 Direct F1
transaction MCO Common Stock Sale -$262K -790 -1.2% $331.23 64.8K Aug 16, 2023 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction MCO Employee Stock Option (right to buy) Options Exercise $0 -759 -100% $0.00* 0 Aug 16, 2023 Common Stock 759 $98.01 Direct F2
transaction MCO Employee Stock Option (right to buy) Options Exercise $0 -790 -100% $0.00* 0 Aug 16, 2023 Common Stock 790 $80.81 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id Content
F1 Exercise and sale of shares pursuant to a Rule 10b5-1 plan adopted by Mr. Fauber on May 12, 2023.
F2 One fourth of options vest each year beginning with the date indicated.