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Signature
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Elizabeth McCarroll, by power of attorney for Robert Fauber
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Stock symbol
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MCO
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Transactions as of
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Nov 15, 2023
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Transactions value $
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-$755,100
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Form type
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4
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Date filed
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11/16/2023, 05:05 PM
Transactions Table
| Type |
Sym |
Class |
Transaction |
Value $ |
Shares |
Change % |
* Price $ |
Shares After |
Date |
Ownership |
Footnotes |
| transaction |
MCO |
Common Stock |
Sale |
-$351K |
-1K |
-1.69% |
$350.76 |
58.1K |
Nov 15, 2023 |
Direct |
F1 |
| transaction |
MCO |
Common Stock |
Options Exercise |
$74.1K |
+756 |
+1.3% |
$98.01 |
58.9K |
Nov 15, 2023 |
Direct |
F2 |
| transaction |
MCO |
Common Stock |
Sale |
-$265K |
-756 |
-1.28% |
$350.76 |
58.1K |
Nov 15, 2023 |
Direct |
F2 |
| transaction |
MCO |
Common Stock |
Options Exercise |
$63.8K |
+790 |
+1.36% |
$80.81 |
58.9K |
Nov 15, 2023 |
Direct |
F2 |
| transaction |
MCO |
Common Stock |
Sale |
-$277K |
-790 |
-1.34% |
$350.76 |
58.1K |
Nov 15, 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% |
$0.00* |
0 |
Nov 15, 2023 |
Common Stock |
756 |
$98.01 |
Direct |
F3 |
| transaction |
MCO |
Employee Stock Option (right to buy) |
Options Exercise |
$0 |
-790 |
-100% |
$0.00* |
0 |
Nov 15, 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: