Robert Fauber - Dec 29, 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
Dec 29, 2023
Transactions value $
-$856,609
Form type
4
Date filed
1/2/2024, 04:22 PM
Previous filing
Dec 18, 2023
Next filing
Jan 17, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction MCO Common Stock Sale -$391K -1K -1.78% $390.63 55.1K Dec 29, 2023 Direct F1
transaction MCO Common Stock Options Exercise $74.1K +756 +1.37% $98.01 55.9K Dec 29, 2023 Direct F2
transaction MCO Common Stock Sale -$295K -756 -1.35% $390.63 55.1K Dec 29, 2023 Direct F2
transaction MCO Common Stock Options Exercise $63.8K +790 +1.43% $80.81* 55.9K Dec 29, 2023 Direct F2
transaction MCO Common Stock Sale -$309K -790 -1.41% $390.63 55.1K Dec 29, 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 Dec 29, 2023 Common Stock 756 $98.01 Direct F3
transaction MCO Employee Stock Option (right to buy) Options Exercise $0 -790 -100% $0.00* 0 Dec 29, 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:

Id Content
F1 Sale of shares pursuant to a Rule 10b5-1 plan adopted by Mr. Fauber on May 12, 2023.
F2 Exercise and sale of shares pursuant to a Rule 10b5-1 plan adopted by Mr. Fauber on May 12, 2023.
F3 One fourth of options vest each year beginning with the date indicated.