Mark Kaye - 16 Aug 2021 Form 4 Insider Report for MOODYS CORP /DE/ (MCO)

Role
EVP & Chief Financial Officer
Signature
Elizabeth McCarroll, by power of attorney for Mark Kaye.
Issuer symbol
MCO
Transactions as of
16 Aug 2021
Net transactions value
-$604,691
Form type
4
Filing time
17 Aug 2021, 16:01:25 UTC
Previous filing
09 Aug 2021
Next filing
19 Nov 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction MCO Common Stock Sale $396,017 -1,043 -18% $379.69 4,901 16 Aug 2021 Direct F1
transaction MCO Common Stock Options Exercise $486,248 +1,734 +35% $280.42 6,635 16 Aug 2021 Direct F2
transaction MCO Common Stock Sale $658,382 -1,734 -26% $379.69 4,901 16 Aug 2021 Direct F2
transaction MCO Common Stock Options Exercise $98,630 +356 +7.3% $277.05 5,257 16 Aug 2021 Direct F2
transaction MCO Common Stock Sale $135,170 -356 -6.8% $379.69 4,901 16 Aug 2021 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 -1,734 -100% $0.000000* 0 16 Aug 2021 Common Stock 1,734 $280.42 Direct F2, F3
transaction MCO Employee Stock Option (right to buy) Options Exercise $0 -356 -100% $0.000000* 0 16 Aug 2021 Common Stock 356 $277.05 Direct F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Sale of shares pursuant to Rule 10b5-1 Plan.
F2 Exercise and sale of shares pursuant to Rule 10b5-1 Plan.
F3 One fourth of options vest each year beginning with the date indicated.