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NYSE · USD

MCO

MOODYS CORP /DE/

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386
SEC CIK
0001059556
Parsed reports
873

Last 12 months

Inside the activity.

0 purchase rows · 34 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202501
Dec 202502
Jan 202602
Feb 202604
Mar 202605
Apr 202605
May 202603
Jun 202603
Jul 202603
Aug 202602
Sep 202602
Oct 202602

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
September 10, 2020 Filed Sep 11, 2020 20:06 UTC GrantDividend Equivalent · Derivative 1.262 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-050128 · doc4.xml · derivative · entry 2

Esperdy Therese · CIK 0001767289 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4.602

Underlying: Common Stock · 1.262 shares

Expires not disclosed

F2 · derivative.exercise_price: Dividend Equivalents accrued on exempt grant of unvested RSUs, which will vest and settle with the underlying award.

F2 · derivative.exercise_date: Dividend Equivalents accrued on exempt grant of unvested RSUs, which will vest and settle with the underlying award.

F2 · derivative.expiration_date: Dividend Equivalents accrued on exempt grant of unvested RSUs, which will vest and settle with the underlying award.

Read SEC document
September 10, 2020 Filed Sep 11, 2020 20:06 UTC GrantCommon Stock 2.033 $286.39 $582.23
Disclosure

SEC source: 0001209191-20-050128 · doc4.xml · nonDerivative · entry 1

Esperdy Therese · CIK 0001767289 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,698.705

F1 · shares: RSU deferred dividend reinvestment accrual.

Read SEC document
September 10, 2020 Filed Sep 11, 2020 20:07 UTC GrantDividend Equivalent · Derivative 1.262 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-050133 · doc4.xml · derivative · entry 3

FORLENZA VINCENT A · CIK 0001221787 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4.602

Underlying: Common Stock · 1.262 shares

Expires not disclosed

F5 · derivative.exercise_price: Dividend Equivalents accrued on exempt grant of unvested RSUs, which will vest and settle with the underlying award.

F5 · derivative.exercise_date: Dividend Equivalents accrued on exempt grant of unvested RSUs, which will vest and settle with the underlying award.

F5 · derivative.expiration_date: Dividend Equivalents accrued on exempt grant of unvested RSUs, which will vest and settle with the underlying award.

Read SEC document
September 10, 2020 Filed Sep 11, 2020 20:07 UTC GrantPhantom Stock Units (Deferred Compensation) · Derivative 0.9 $283.78 $255.40
Disclosure

SEC source: 0001209191-20-050133 · doc4.xml · derivative · entry 2

FORLENZA VINCENT A · CIK 0001221787 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 468.57

Underlying: Common Stock · 0.9 shares

Expires not disclosed

F2 · security: Phantom Stock Units arising out of the Reporting Person's election to defer receipt of retainer fees.

F3 · derivative.exercise_price: The security converts to common stock on a one-for-one basis.

F4 · derivative.exercise_date: These units are to be settled in cash after the Reporting Person's retirement.

F4 · derivative.expiration_date: These units are to be settled in cash after the Reporting Person's retirement.

Read SEC document
September 10, 2020 Filed Sep 11, 2020 20:07 UTC GrantCommon Stock 4.289 $286.39 $1,228.33
Disclosure

SEC source: 0001209191-20-050133 · doc4.xml · nonDerivative · entry 1

FORLENZA VINCENT A · CIK 0001221787 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,339.922

F1 · shares: RSU deferred dividend reinvestment accrual.

Read SEC document
September 10, 2020 Filed Sep 11, 2020 20:05 UTC GrantCommon Stock 15 $286.88 $4,303.20
Disclosure

SEC source: 0001209191-20-050124 · doc4.xml · nonDerivative · entry 1

Bermudez Jorge A. · CIK 0001419202 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,156

F1 · shares: Restricted Stock deferred dividend reinvestment accrual.

Read SEC document
September 10, 2020 Filed Sep 11, 2020 20:02 UTC GrantDividend Equivalent · Derivative 1.262 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-050120 · doc4.xml · derivative · entry 4

ANDERSON BASIL · CIK 0001180659 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4.602

Underlying: Common Stock · 1.262 shares

Expires not disclosed

F6 · derivative.exercise_price: Dividend Equivalents accrued on exempt grant of unvested RSUs, which will vest and settle with the underlying award.

F6 · derivative.exercise_date: Dividend Equivalents accrued on exempt grant of unvested RSUs, which will vest and settle with the underlying award.

F6 · derivative.expiration_date: Dividend Equivalents accrued on exempt grant of unvested RSUs, which will vest and settle with the underlying award.

Read SEC document
September 10, 2020 Filed Sep 11, 2020 20:02 UTC GrantPhantom Stock Units (Deferred Compensation) · Derivative 23.35 $283.78 $6,626.26
Disclosure

SEC source: 0001209191-20-050120 · doc4.xml · derivative · entry 3

ANDERSON BASIL · CIK 0001180659 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,133.39

Underlying: Common Stock · 23.35 shares

Expires not disclosed

F3 · security: Phantom Stock Units arising out of the Reporting Person's election to defer receipt of retainer fees.

F4 · derivative.exercise_price: The security converts to common stock on a one-for-one basis.

F5 · derivative.exercise_date: These units are to be settled in cash after the Reporting Person's retirement.

F5 · derivative.expiration_date: These units are to be settled in cash after the Reporting Person's retirement.

Read SEC document
September 10, 2020 Filed Sep 11, 2020 20:02 UTC GrantCommon Stock 4.214 $286.39 $1,206.85
Disclosure

SEC source: 0001209191-20-050120 · doc4.xml · nonDerivative · entry 2

ANDERSON BASIL · CIK 0001180659 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,693.766

F2 · shares: RSU deferred dividend reinvestment accrual.

Read SEC document
September 10, 2020 Filed Sep 11, 2020 20:02 UTC GrantCommon Stock 79 $286.88 $22,663.52
Disclosure

SEC source: 0001209191-20-050120 · doc4.xml · nonDerivative · entry 1

ANDERSON BASIL · CIK 0001180659 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,689.552

F1 · shares: Restricted Stock deferred dividend reinvestment accrual.

Read SEC document
September 02, 2020 Filed Sep 4, 2020 20:04 UTC
MCDANIEL RAYMOND WDirector · President and CEO
SaleCommon Stock 10,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-049608 · doc4.xml · nonDerivative · entry 2

MCDANIEL RAYMOND W · CIK 0001195306 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · Trust

Disclosed balance after: 38,226

F1 · kind: Sale of shares pursuant to a pre-arranged plan.

F2 · price: The reporting person contributed common stock to an exchange fund in exchange for shares of the exchange fund. The closing of the exchange fund is subject to conditions not controlled by the reporting person, and the price ascribed to the contributed shares will be reported after closing of the exchange fund through an amendment to this Form 4.

Read SEC document
September 02, 2020 Filed Sep 23, 2020 21:12 UTC Amendment
MCDANIEL RAYMOND WDirector · President and CEO
SaleCommon Stock 10,000 $282.71 $2,827,100.00
Disclosure

SEC source: 0001209191-20-051686 · doc4a.xml · nonDerivative · entry 2

MCDANIEL RAYMOND W · CIK 0001195306 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,226

F1 · kind: Sale of shares pursuant to a pre-arranged plan.

F2 · price: The reporting person contributed common stock to an exchange fund in exchange for shares of the exchange fund. The closing of the exchange fund was subject to conditions not controlled by the reporting person, and occurred on September 18, 2020, with a valuation of $282.71 per share, which was reported to the reporting person on September 23, 2020.

Read SEC document
August 17, 2020 Filed Aug 18, 2020 20:05 UTC
West Michael LPresident, Moody's Investors
SaleCommon Stock 540 $284.80 $153,792.00
Disclosure

SEC source: 0001209191-20-047171 · doc4.xml · nonDerivative · entry 1

West Michael L · CIK 0001791243 · President, Moody's Investors

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,984.997

Read SEC document
August 10, 2020 Filed Aug 11, 2020 20:13 UTC
GOGGINS JOHN JEVP and General Counsel
SaleCommon Stock 11,700 $274.14 $3,207,438.00
Disclosure

SEC source: 0001209191-20-046100 · doc4.xml · nonDerivative · entry 1

GOGGINS JOHN J · CIK 0001195304 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,418

F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan.

Read SEC document
July 08, 2020 Filed Jul 9, 2020 20:11 UTC
Tulenko Stephen TPresident, Moody's Analytics
SaleCommon Stock 1,500 $293.01 $439,509.00
Disclosure

SEC source: 0001209191-20-041968 · doc4.xml · nonDerivative · entry 1

Tulenko Stephen T · CIK 0001790871 · President, Moody's Analytics

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,044.488

F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan.

F2 · price: The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $293.00 to $293.01. 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.

Read SEC document
July 06, 2020 Filed Jul 8, 2020 20:21 UTC
GOGGINS JOHN JEVP and General Counsel
SaleCommon Stock 12,000 $282.20 $3,386,400.00
Disclosure

SEC source: 0001209191-20-041751 · doc4.xml · nonDerivative · entry 1

GOGGINS JOHN J · CIK 0001195304 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,118

F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan.

Read SEC document
July 01, 2020 Filed Jul 2, 2020 20:03 UTC
Kaye MarkSVP & Chief Financial Officer
GrantEmployee Stock Option (right to buy) · Derivative 1,427 $0.00 Strike: $277.05 $0.00
Disclosure

SEC source: 0001209191-20-040219 · doc4.xml · derivative · entry 2

Kaye Mark · CIK 0001748691 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,427

Underlying: Common Stock · 1,427 shares

Expires 2030-07-01

F2 · derivative.exercise_date: One fourth of options vest each year beginning with the date indicated.

Read SEC document
July 01, 2020 Filed Jul 2, 2020 20:03 UTC
Kaye MarkSVP & Chief Financial Officer
GrantCommon Stock 361 $277.05 $100,015.05
Disclosure

SEC source: 0001209191-20-040219 · doc4.xml · nonDerivative · entry 1

Kaye Mark · CIK 0001748691 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,444

F1 · shares: Exempt grant of restricted stock units.

Read SEC document
July 01, 2020 Filed Jul 7, 2020 01:26 UTC
MCDANIEL RAYMOND WDirector · President and CEO
SaleCommon Stock 10,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-041410 · doc4.xml · nonDerivative · entry 2

MCDANIEL RAYMOND W · CIK 0001195306 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · Trust

Disclosed balance after: 48,226

F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan.

F2 · price: The reporting person contributed common stock to an exchange fund in exchange for shares of the exchange fund. The closing of the exchange fund is subject to conditions not controlled by the reporting person, and the price ascribed to the contributed shares will be reported after closing of the exchange fund through an amendment to this Form 4.

Read SEC document
July 01, 2020 Filed Jul 30, 2020 23:21 UTC Amendment
MCDANIEL RAYMOND WDirector · President and CEO
SaleCommon Stock 10,000 $288.12 $2,881,200.00
Disclosure

SEC source: 0001209191-20-044065 · doc4a.xml · nonDerivative · entry 2

MCDANIEL RAYMOND W · CIK 0001195306 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,226

F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan.

F2 · price: The reporting person contributed common stock to an exchange fund in exchange for shares of the exchange fund. The closing of the exchange fund was subject to conditions not controlled by the reporting person, and occurred on July 24, 2020, with a valuation of $288.12 per share, which was reported to the reporting person on July 28, 2020.

Read SEC document
June 10, 2020 Filed Jun 11, 2020 20:15 UTC GrantDividend Equivalent · Derivative 1.301 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-035912 · doc4.xml · derivative · entry 3

VAN SAUN BRUCE · CIK 0001199914 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3.34

Underlying: Common Stock · 1.301 shares

Expires not disclosed

F3 · derivative.exercise_price: Dividend Equivalents accrued on exempt grant of unvested RSUs, which will vest and settle with the underlying award.

F3 · derivative.exercise_date: Dividend Equivalents accrued on exempt grant of unvested RSUs, which will vest and settle with the underlying award.

F3 · derivative.expiration_date: Dividend Equivalents accrued on exempt grant of unvested RSUs, which will vest and settle with the underlying award.

Read SEC document
June 10, 2020 Filed Jun 11, 2020 20:15 UTC GrantCommon Stock 4.345 $277.27 $1,204.74
Disclosure

SEC source: 0001209191-20-035912 · doc4.xml · nonDerivative · entry 2

VAN SAUN BRUCE · CIK 0001199914 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,123.552

F2 · shares: RSU deferred dividend reinvestment accrual.

Read SEC document
June 10, 2020 Filed Jun 11, 2020 20:15 UTC GrantCommon Stock 5 $274.99 $1,374.95
Disclosure

SEC source: 0001209191-20-035912 · doc4.xml · nonDerivative · entry 1

VAN SAUN BRUCE · CIK 0001199914 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,119.207

F1 · shares: Restricted Stock deferred dividend reinvestment accrual.

Read SEC document
June 10, 2020 Filed Jun 11, 2020 20:14 UTC GrantCommon Stock 13 $274.99 $3,574.87
Disclosure

SEC source: 0001209191-20-035907 · doc4.xml · nonDerivative · entry 1

Seidman Leslie · CIK 0001595268 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,957

F1 · shares: Restricted Stock deferred dividend reinvestment accrual.

Read SEC document
June 10, 2020 Filed Jun 11, 2020 20:13 UTC GrantDividend Equivalent · Derivative 1.807 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-035904 · doc4.xml · derivative · entry 4

MCKINNELL HENRY A · CIK 0001174453 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4.641

Underlying: Common Stock · 1.807 shares

Expires not disclosed

F6 · derivative.exercise_price: Dividend Equivalents accrued on exempt grant of unvested RSUs, which will vest and settle with the underlying award.

F6 · derivative.exercise_date: Dividend Equivalents accrued on exempt grant of unvested RSUs, which will vest and settle with the underlying award.

F6 · derivative.expiration_date: Dividend Equivalents accrued on exempt grant of unvested RSUs, which will vest and settle with the underlying award.

Read SEC document
June 10, 2020 Filed Jun 11, 2020 20:13 UTC GrantPhantom Stock Units (Deferred Performance Shares) · Derivative 3.783 $276.80 $1,047.13
Disclosure

SEC source: 0001209191-20-035904 · doc4.xml · derivative · entry 3

MCKINNELL HENRY A · CIK 0001174453 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,873.916

Underlying: Common Stock · 3.783 shares

Expires not disclosed

F3 · security: Phantom stock units arising out of the Reporting Person's election to defer receipt of earned performance shares.

F4 · derivative.exercise_price: The security converts to common stock on a one-for-one basis.

F5 · derivative.exercise_date: These units are to be settled in stock after the Reporting Person's retirement.

F5 · derivative.expiration_date: These units are to be settled in stock after the Reporting Person's retirement.

Read SEC document
June 10, 2020 Filed Jun 11, 2020 20:13 UTC GrantCommon Stock 6.034 $277.27 $1,673.05
Disclosure

SEC source: 0001209191-20-035904 · doc4.xml · nonDerivative · entry 2

MCKINNELL HENRY A · CIK 0001174453 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,497.484

F2 · shares: RSU deferred dividend reinvestment accrual.

Read SEC document
June 10, 2020 Filed Jun 11, 2020 20:13 UTC GrantCommon Stock 104 $274.99 $28,598.96
Disclosure

SEC source: 0001209191-20-035904 · doc4.xml · nonDerivative · entry 1

MCKINNELL HENRY A · CIK 0001174453 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,491.45

F1 · shares: Restricted Stock deferred dividend reinvestment accrual.

Read SEC document
June 10, 2020 Filed Jun 11, 2020 20:12 UTC GrantDividend Equivalent · Derivative 1.301 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-035900 · doc4.xml · derivative · entry 3

FORLENZA VINCENT A · CIK 0001221787 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3.34

Underlying: Common Stock · 1.301 shares

Expires not disclosed

F5 · derivative.exercise_price: Dividend Equivalents accrued on exempt grant of unvested RSUs, which will vest and settle with the underlying award.

F5 · derivative.exercise_date: Dividend Equivalents accrued on exempt grant of unvested RSUs, which will vest and settle with the underlying award.

F5 · derivative.expiration_date: Dividend Equivalents accrued on exempt grant of unvested RSUs, which will vest and settle with the underlying award.

Read SEC document
June 10, 2020 Filed Jun 11, 2020 20:12 UTC GrantPhantom Stock Units (Deferred Compensation) · Derivative 0.93 $276.80 $257.42
Disclosure

SEC source: 0001209191-20-035900 · doc4.xml · derivative · entry 2

FORLENZA VINCENT A · CIK 0001221787 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 467.91

Underlying: Common Stock · 0.93 shares

Expires not disclosed

F2 · security: Phantom Stock Units arising out of the Reporting Person's election to defer receipt of retainer fees.

F3 · derivative.exercise_price: The security converts to common stock on a one-for-one basis.

F4 · derivative.exercise_date: These units are to be settled in cash after the Reporting Person's retirement.

F4 · derivative.expiration_date: These units are to be settled in cash after the Reporting Person's retirement.

Read SEC document
June 10, 2020 Filed Jun 11, 2020 20:12 UTC GrantCommon Stock 4.422 $277.27 $1,226.09
Disclosure

SEC source: 0001209191-20-035900 · doc4.xml · nonDerivative · entry 1

FORLENZA VINCENT A · CIK 0001221787 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,335.633

F1 · shares: RSU deferred dividend reinvestment accrual.

Read SEC document
June 10, 2020 Filed Jun 11, 2020 20:11 UTC GrantDividend Equivalent · Derivative 1.301 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-035898 · doc4.xml · derivative · entry 2

Esperdy Therese · CIK 0001767289 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3.34

Underlying: Common Stock · 1.301 shares

Expires not disclosed

F2 · derivative.exercise_price: Dividend Equivalents accrued on exempt grant of unvested RSUs, which will vest and settle with the underlying award.

F2 · derivative.exercise_date: Dividend Equivalents accrued on exempt grant of unvested RSUs, which will vest and settle with the underlying award.

F2 · derivative.expiration_date: Dividend Equivalents accrued on exempt grant of unvested RSUs, which will vest and settle with the underlying award.

Read SEC document
June 10, 2020 Filed Jun 11, 2020 20:11 UTC GrantCommon Stock 2.096 $277.27 $581.16
Disclosure

SEC source: 0001209191-20-035898 · doc4.xml · nonDerivative · entry 1

Esperdy Therese · CIK 0001767289 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,696.672

F1 · shares: RSU deferred dividend reinvestment accrual.

Read SEC document
June 10, 2020 Filed Jun 11, 2020 20:10 UTC GrantCommon Stock 15 $274.99 $4,124.85
Disclosure

SEC source: 0001209191-20-035896 · doc4.xml · nonDerivative · entry 1

Bermudez Jorge A. · CIK 0001419202 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,141

F1 · shares: Restricted Stock deferred dividend reinvestment accrual.

Read SEC document
June 10, 2020 Filed Jun 11, 2020 20:09 UTC GrantDividend Equivalent · Derivative 1.301 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-035895 · doc4.xml · derivative · entry 4

ANDERSON BASIL · CIK 0001180659 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3.34

Underlying: Common Stock · 1.301 shares

Expires not disclosed

F6 · derivative.exercise_price: Dividend Equivalents accrued on exempt grant of unvested RSUs, which will vest and settle with the underlying award.

F6 · derivative.exercise_date: Dividend Equivalents accrued on exempt grant of unvested RSUs, which will vest and settle with the underlying award.

F6 · derivative.expiration_date: Dividend Equivalents accrued on exempt grant of unvested RSUs, which will vest and settle with the underlying award.

Read SEC document
June 10, 2020 Filed Jun 11, 2020 20:09 UTC GrantPhantom Stock Units (Deferred Compensation) · Derivative 24.1 $276.80 $6,670.88
Disclosure

SEC source: 0001209191-20-035895 · doc4.xml · derivative · entry 3

ANDERSON BASIL · CIK 0001180659 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,116.07

Underlying: Common Stock · 24.1 shares

Expires not disclosed

F3 · security: Phantom Stock Units arising out of the Reporting Person's election to defer receipt of retainer fees.

F4 · derivative.exercise_price: The security converts to common stock on a one-for-one basis.

F5 · derivative.exercise_date: These units are to be settled in cash after the Reporting Person's retirement.

F5 · derivative.expiration_date: These units are to be settled in cash after the Reporting Person's retirement.

Read SEC document
June 10, 2020 Filed Jun 11, 2020 20:09 UTC GrantCommon Stock 4.345 $277.27 $1,204.74
Disclosure

SEC source: 0001209191-20-035895 · doc4.xml · nonDerivative · entry 2

ANDERSON BASIL · CIK 0001180659 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,610.552

F2 · shares: RSU deferred dividend reinvestment accrual.

Read SEC document
June 10, 2020 Filed Jun 11, 2020 20:09 UTC GrantCommon Stock 82 $274.99 $22,549.18
Disclosure

SEC source: 0001209191-20-035895 · doc4.xml · nonDerivative · entry 1

ANDERSON BASIL · CIK 0001180659 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,606.207

F1 · shares: Restricted Stock deferred dividend reinvestment accrual.

Read SEC document
June 05, 2020 Filed Jun 8, 2020 20:09 UTC
MCDANIEL RAYMOND WDirector · President and CEO
SaleCommon Stock 748 $282.82 $211,550.11
Disclosure

SEC source: 0001209191-20-034952 · doc4.xml · nonDerivative · entry 5

MCDANIEL RAYMOND W · CIK 0001195306 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,246

F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan.

F6 · price: The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $282.54 to $283.10. 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.

Read SEC document
June 05, 2020 Filed Jun 8, 2020 20:09 UTC
MCDANIEL RAYMOND WDirector · President and CEO
SaleCommon Stock 1,645 $281.91 $463,746.89
Disclosure

SEC source: 0001209191-20-034952 · doc4.xml · nonDerivative · entry 4

MCDANIEL RAYMOND W · CIK 0001195306 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,994

F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan.

F5 · price: The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $281.50 to $282.45. 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.

Read SEC document
June 05, 2020 Filed Jun 8, 2020 20:09 UTC
MCDANIEL RAYMOND WDirector · President and CEO
SaleCommon Stock 2,300 $280.77 $645,759.50
Disclosure

SEC source: 0001209191-20-034952 · doc4.xml · nonDerivative · entry 3

MCDANIEL RAYMOND W · CIK 0001195306 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 230,639

F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan.

F4 · price: The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $280.39 to $281.34. 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.

Read SEC document
June 05, 2020 Filed Jun 8, 2020 20:09 UTC
MCDANIEL RAYMOND WDirector · President and CEO
SaleCommon Stock 1,707 $279.69 $477,437.66
Disclosure

SEC source: 0001209191-20-034952 · doc4.xml · nonDerivative · entry 2

MCDANIEL RAYMOND W · CIK 0001195306 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 232,939

F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan.

F3 · price: The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $279.35 to $280.25. 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.

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June 05, 2020 Filed Jun 8, 2020 20:09 UTC
MCDANIEL RAYMOND WDirector · President and CEO
SaleCommon Stock 1,100 $278.92 $306,807.60
Disclosure

SEC source: 0001209191-20-034952 · doc4.xml · nonDerivative · entry 1

MCDANIEL RAYMOND W · CIK 0001195306 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 234,646

F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan.

F2 · price: The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $278.27 to $279.26. 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.

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June 03, 2020 Filed Jun 5, 2020 21:58 UTC
GOGGINS JOHN JEVP and General Counsel
SaleCommon Stock 12,300 $279.59 $3,438,957.00
Disclosure

SEC source: 0001209191-20-034763 · doc4.xml · nonDerivative · entry 2

GOGGINS JOHN J · CIK 0001195304 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,118

F2 · kind: Sale of shares pursuant to Rule 10b5-1 Plan.

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May 20, 2020 Filed Jun 5, 2020 21:58 UTC
GOGGINS JOHN JEVP and General Counsel
GiftCommon Stock 300 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-034763 · doc4.xml · nonDerivative · entry 1

GOGGINS JOHN J · CIK 0001195304 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,418

F1 · kind: Gift of shares pursuant to Rule 10b5-1 Plan.

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May 18, 2020 Filed May 19, 2020 20:16 UTC
West Michael LPresident, Moody's Investors
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 1,853 $0.00 Strike: $167.50 $0.00
Disclosure

SEC source: 0001209191-20-030456 · doc4.xml · derivative · entry 10

West Michael L · CIK 0001791243 · President, Moody's Investors

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,853 shares

Expires 2028-02-16

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: One fourth of options vest each year beginning with the date indicated.

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May 18, 2020 Filed May 19, 2020 20:16 UTC
West Michael LPresident, Moody's Investors
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 1,297 $0.00 Strike: $113.34 $0.00
Disclosure

SEC source: 0001209191-20-030456 · doc4.xml · derivative · entry 9

West Michael L · CIK 0001791243 · President, Moody's Investors

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,297 shares

Expires 2027-02-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: One fourth of options vest each year beginning with the date indicated.

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May 18, 2020 Filed May 19, 2020 20:16 UTC
West Michael LPresident, Moody's Investors
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 3,053 $0.00 Strike: $80.81 $0.00
Disclosure

SEC source: 0001209191-20-030456 · doc4.xml · derivative · entry 8

West Michael L · CIK 0001791243 · President, Moody's Investors

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,053 shares

Expires 2026-02-12

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: One fourth of options vest each year beginning with the date indicated.

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May 18, 2020 Filed May 19, 2020 20:16 UTC
West Michael LPresident, Moody's Investors
SaleCommon Stock 1,853 $260.60 $482,899.21
Disclosure

SEC source: 0001209191-20-030456 · doc4.xml · nonDerivative · entry 7

West Michael L · CIK 0001791243 · President, Moody's Investors

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,524.997

F3 · price: The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $260.56 to $260.62. 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.

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May 18, 2020 Filed May 19, 2020 20:16 UTC
West Michael LPresident, Moody's Investors
Exercise / conversionCommon Stock 1,853 $167.50 $310,377.50
Disclosure

SEC source: 0001209191-20-030456 · doc4.xml · nonDerivative · entry 6

West Michael L · CIK 0001791243 · President, Moody's Investors

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,377.997

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.