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MOODYS CORP /DE/ — Director's Dealing 2014
Aug 7, 2014
29895_dirs_2014-08-07_37f93d5e-d796-40da-8c9a-13b754274e8b.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: MOODYS CORP /DE/ (MCO)
CIK: 0001059556
Period of Report: 2014-08-06
Reporting Person: Westlake Lisa (SVP & Chief HR Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-08-06 | Common Stock | M | 7300 | $26.78 | Acquired | 37337 | Direct |
| 2014-08-06 | Common Stock | S | 7300 | $87.387 | Disposed | 30037 | Direct |
| 2014-08-06 | Common Stock | M | 5200 | $30.01 | Acquired | 35237 | Direct |
| 2014-08-06 | Common Stock | S | 5200 | $87.387 | Disposed | 30037 | Direct |
| 2014-08-06 | Common Stock | M | 3100 | $38.07 | Acquired | 33137 | Direct |
| 2014-08-06 | Common Stock | S | 3100 | $87.377 | Disposed | 30037 | Direct |
| 2014-08-06 | Common Stock | M | 20200 | $21.01 | Acquired | 50237 | Direct |
| 2014-08-06 | Common Stock | S | 20200 | $87.394 | Disposed | 30037 | Direct |
| 2014-08-06 | Common Stock | M | 2700 | $25.37 | Acquired | 32737 | Direct |
| 2014-08-06 | Common Stock | S | 2700 | $87.389 | Disposed | 30037 | Direct |
| 2014-08-06 | Common Stock | M | 3700 | $41.688 | Acquired | 33737 | Direct |
| 2014-08-06 | Common Stock | S | 3700 | $87.394 | Disposed | 30037 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-08-06 | Employee Stock Option (right to buy) | $26.78 | M | 7300 | Disposed | 2020-02-09 | Common Stock (7300) | Direct |
| 2014-08-06 | Employee Stock Option (right to buy) | $30.01 | M | 5200 | Disposed | 2021-02-08 | Common Stock (5200) | Direct |
| 2014-08-06 | Employee Stock Option (right to buy) | $38.07 | M | 3100 | Disposed | 2018-02-12 | Common Stock (3100) | Direct |
| 2014-08-06 | Employee Stock Option (right to buy) | $21.01 | M | 20200 | Disposed | 2018-12-16 | Common Stock (20200) | Direct |
| 2014-08-06 | Employee Stock Option (right to buy) | $25.37 | M | 2700 | Disposed | 2019-02-10 | Common Stock (2700) | Direct |
| 2014-08-06 | Employee Stock Option (right to buy) | $41.688 | M | 3700 | Disposed | 2015-02-22 | Common Stock (3700) | Direct |
Footnotes
F1: The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from
$87.05 to $87.73. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full
information regarding the number of shares sold at each separate price.
F2: The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $87.05 to $87.74. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.
F3: The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $87.05 to $87.67. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.
F4: The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $87.05 to $87.78. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.
F5: One fourth of options vest each year beginning with the date indicated.