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Signature
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Elizabeth McCarroll, by power of attorney for Robert Fauber
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Issuer symbol
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MCO
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Transactions as of
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13 Oct 2023
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Net transactions value
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-$677,497
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Form type
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4
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Filing time
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17 Oct 2023, 17:04:03 UTC
Transactions Table
| Type |
Sym |
Class |
Transaction |
Value $ |
Shares |
Change % |
* Price $ |
Shares After |
Date |
Ownership |
Footnotes |
| transaction |
MCO |
Common Stock |
Sale |
$320,280 |
-1,000 |
-1.6% |
$320.28 |
60,838 |
13 Oct 2023 |
Direct |
F1 |
| transaction |
MCO |
Common Stock |
Options Exercise |
$74,096 |
+756 |
+1.2% |
$98.01 |
61,594 |
13 Oct 2023 |
Direct |
F2 |
| transaction |
MCO |
Common Stock |
Sale |
$242,132 |
-756 |
-1.2% |
$320.28 |
60,838 |
13 Oct 2023 |
Direct |
F2 |
| transaction |
MCO |
Common Stock |
Options Exercise |
$63,840 |
+790 |
+1.3% |
$80.81 |
61,628 |
13 Oct 2023 |
Direct |
F2 |
| transaction |
MCO |
Common Stock |
Sale |
$253,021 |
-790 |
-1.3% |
$320.28 |
60,838 |
13 Oct 2023 |
Direct |
F2 |
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 |
-756 |
-100% |
$0.000000* |
0 |
13 Oct 2023 |
Common Stock |
756 |
$98.01 |
Direct |
F3 |
| transaction |
MCO |
Employee Stock Option (right to buy) |
Options Exercise |
$0 |
-790 |
-100% |
$0.000000* |
0 |
13 Oct 2023 |
Common Stock |
790 |
$80.81 |
Direct |
F3 |
* 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: