Form 4 for MCO Moody's Corporation
Accepted 2023-09-18 00:00:00 ET · period of report 2023-09-15 · accession 0001059556-23-000082 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2023-09-18 | 2023-09-15 | MCO | Fauber Robert | Pres, CEO, Dir | M - OptEx | $89.22 | +1,546 | 63.6K | +2% | +$137.9K |
| DM | 2023-09-18 | 2023-09-15 | MCO | Fauber Robert | Pres, CEO, Dir | S - Sale+OE | $343.99 | -2,546 | 62.8K | -4% | -$875.8K |
| DM | 2023-09-18 | 2023-09-15 | MCO | Fauber Robert | Pres, CEO, Dir | M - OptEx | $0.00 | -1,546 | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-09-15 | M | A | 756 | $98.01 | 63,594 | D | — | — | (F2) Exercise and sale of shares pursuant to a Rule 10b5-1 plan adopted by Mr. Fauber on May 12, 2023. |
| 2 | Common | Common Stock | 2023-09-15 | M | A | 790 | $80.81 | 63,628 | D | — | — | (F2) Exercise and sale of shares pursuant to a Rule 10b5-1 plan adopted by Mr. Fauber on May 12, 2023. |
| 3 | Common | Common Stock | 2023-09-15 | S | D | 790 | $343.99 | 62,838 | D | — | — | (F2) Exercise and sale of shares pursuant to a Rule 10b5-1 plan adopted by Mr. Fauber on May 12, 2023. |
| 4 | Common | Common Stock | 2023-09-15 | S | D | 1,000 | $343.99 | 62,838 | D | — | — | (F1) Sale of shares pursuant to a Rule 10b5-1 plan adopted by Mr. Fauber on May 12, 2023. |
| 5 | Common | Common Stock | 2023-09-15 | S | D | 756 | $343.99 | 62,838 | D | — | — | (F2) Exercise and sale of shares pursuant to a Rule 10b5-1 plan adopted by Mr. Fauber on May 12, 2023. |
| 6 | Derivative | Employee Stock Option (right to buy) | 2023-09-15 | M | D | 756 | $0.00 | 0 | D | $98.01 · 2016-02-11 to 2025-02-11 | 756 Common Stock | (F3) One fourth of options vest each year beginning with the date indicated. |
| 7 | Derivative | Employee Stock Option (right to buy) | 2023-09-15 | M | D | 790 | $0.00 | 0 | D | $80.81 · 2017-02-12 to 2026-02-12 | 790 Common Stock | (F3) One fourth of options vest each year beginning with the date indicated. |