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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

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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
February 20, 2020 Filed Feb 24, 2020 21:05 UTC
Hughes MelanieSVP & Chief HR Officer
GrantCommon Stock 585 $280.42 $164,045.70
Disclosure

SEC source: 0001209191-20-011932 · doc4.xml · nonDerivative · entry 1

Hughes Melanie · CIK 0001380530 · SVP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,778

F1 · shares: Exempt grant of restricted stock units.

Read SEC document
February 20, 2020 Filed Feb 24, 2020 21:03 UTC
GOGGINS JOHN JEVP and General Counsel
GrantEmployee Stock Option (right to buy) · Derivative 4,005 $0.00 Strike: $280.42 $0.00
Disclosure

SEC source: 0001209191-20-011930 · doc4.xml · derivative · entry 3

GOGGINS JOHN J · CIK 0001195304 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,005

Underlying: Common Stock · 4,005 shares

Expires 2030-02-20

F3 · derivative.exercise_date: One fourth of options vest each year beginning with the date indicated.

Read SEC document
February 20, 2020 Filed Feb 24, 2020 21:03 UTC
GOGGINS JOHN JEVP and General Counsel
GrantCommon Stock 864 $280.42 $242,282.88
Disclosure

SEC source: 0001209191-20-011930 · doc4.xml · nonDerivative · entry 1

GOGGINS JOHN J · CIK 0001195304 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,442

F1 · shares: Exempt grant of restricted stock units.

Read SEC document
February 20, 2020 Filed Feb 24, 2020 21:03 UTC
Fauber RobertChief Operating Officer
GrantEmployee Stock Option (right to buy) · Derivative 9,912 $0.00 Strike: $280.42 $0.00
Disclosure

SEC source: 0001209191-20-011929 · doc4.xml · derivative · entry 2

Fauber Robert · CIK 0001481153 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,912

Underlying: Common Stock · 9,912 shares

Expires 2030-02-20

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

Read SEC document
February 20, 2020 Filed Feb 24, 2020 21:03 UTC
Fauber RobertChief Operating Officer
GrantCommon Stock 2,140 $280.42 $600,098.80
Disclosure

SEC source: 0001209191-20-011929 · doc4.xml · nonDerivative · entry 1

Fauber Robert · CIK 0001481153 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,660

F1 · shares: Exempt grant of restricted stock units.

Read SEC document
February 10, 2020 Filed Feb 12, 2020 23:36 UTC
Fauber RobertPresident-MIS
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 650 $0.00 Strike: $79.55 $0.00
Disclosure

SEC source: 0001209191-20-008978 · doc4.xml · derivative · entry 6

Fauber Robert · CIK 0001481153 · President-MIS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 650 shares

Expires 2024-02-12

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.

F1 · kind: Exercise and sale of shares pursuant to Rule 10b5-1 Plan.

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

Read SEC document
February 10, 2020 Filed Feb 12, 2020 23:36 UTC
Fauber RobertPresident-MIS
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 3,071 $0.00 Strike: $46.43 $0.00
Disclosure

SEC source: 0001209191-20-008978 · doc4.xml · derivative · entry 5

Fauber Robert · CIK 0001481153 · President-MIS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,071 shares

Expires 2023-02-13

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.

F1 · kind: Exercise and sale of shares pursuant to Rule 10b5-1 Plan.

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

Read SEC document
February 10, 2020 Filed Feb 12, 2020 23:36 UTC
Fauber RobertPresident-MIS
SaleCommon Stock 650 $266.95 $173,517.50
Disclosure

SEC source: 0001209191-20-008978 · doc4.xml · nonDerivative · entry 4

Fauber Robert · CIK 0001481153 · President-MIS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,520

F1 · kind: Exercise and sale of shares pursuant to Rule 10b5-1 Plan.

Read SEC document
February 10, 2020 Filed Feb 12, 2020 23:36 UTC
Fauber RobertPresident-MIS
Exercise / conversionCommon Stock 650 $79.55 $51,707.50
Disclosure

SEC source: 0001209191-20-008978 · doc4.xml · nonDerivative · entry 3

Fauber Robert · CIK 0001481153 · President-MIS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,170

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.

F1 · kind: Exercise and sale of shares pursuant to Rule 10b5-1 Plan.

Read SEC document
February 10, 2020 Filed Feb 12, 2020 23:36 UTC
Fauber RobertPresident-MIS
SaleCommon Stock 3,071 $266.95 $819,803.45
Disclosure

SEC source: 0001209191-20-008978 · doc4.xml · nonDerivative · entry 2

Fauber Robert · CIK 0001481153 · President-MIS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,520

F1 · kind: Exercise and sale of shares pursuant to Rule 10b5-1 Plan.

Read SEC document
February 10, 2020 Filed Feb 12, 2020 23:36 UTC
Fauber RobertPresident-MIS
Exercise / conversionCommon Stock 3,071 $46.43 $142,586.53
Disclosure

SEC source: 0001209191-20-008978 · doc4.xml · nonDerivative · entry 1

Fauber Robert · CIK 0001481153 · President-MIS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,591

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.

F1 · kind: Exercise and sale of shares pursuant to Rule 10b5-1 Plan.

Read SEC document
January 30, 2020 Filed Jan 31, 2020 21:27 UTC
GOGGINS JOHN JEVP and General Counsel
SaleCommon Stock 7,673 $259.88 $1,994,059.24
Disclosure

SEC source: 0001209191-20-005768 · doc4.xml · nonDerivative · entry 1

GOGGINS JOHN J · CIK 0001195304 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,578

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

Read SEC document
December 31, 2019 Filed Jan 3, 2020 21:46 UTC
Sullivan CarolineSVP-Corporate Controller
Tax withholdingCommon Stock 122 $237.54 $28,979.88
Disclosure

SEC source: 0001209191-20-001097 · doc4.xml · nonDerivative · entry 1

Sullivan Caroline · CIK 0001759006 · SVP-Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,441

F1 · shares: Disposition of shares to satisfy tax withholding obligation.

Read SEC document
December 16, 2019 Filed Dec 18, 2019 21:24 UTC
GOGGINS JOHN JEVP and General Counsel
SaleCommon Stock 300 $239.05 $71,715.60
Disclosure

SEC source: 0001209191-19-061117 · doc4.xml · nonDerivative · entry 4

GOGGINS JOHN J · CIK 0001195304 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,251

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 $238.98 to $239.16. 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
December 16, 2019 Filed Dec 18, 2019 21:24 UTC
GOGGINS JOHN JEVP and General Counsel
SaleCommon Stock 1,337 $238.40 $318,743.47
Disclosure

SEC source: 0001209191-19-061117 · doc4.xml · nonDerivative · entry 3

GOGGINS JOHN J · CIK 0001195304 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,551

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 $237.93 to $238.90. 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
December 16, 2019 Filed Dec 18, 2019 21:24 UTC
GOGGINS JOHN JEVP and General Counsel
SaleCommon Stock 3,046 $237.19 $722,471.60
Disclosure

SEC source: 0001209191-19-061117 · doc4.xml · nonDerivative · entry 2

GOGGINS JOHN J · CIK 0001195304 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,888

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 $236.92 to $237.69. 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
December 16, 2019 Filed Dec 18, 2019 21:24 UTC
GOGGINS JOHN JEVP and General Counsel
SaleCommon Stock 3,825 $236.37 $904,107.60
Disclosure

SEC source: 0001209191-19-061117 · doc4.xml · nonDerivative · entry 1

GOGGINS JOHN J · CIK 0001195304 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,934

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 $235.89 to $236.87. 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
December 12, 2019 Filed Dec 13, 2019 21:07 UTC GrantDividend Equivalent · Derivative 3.085 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-060353 · doc4.xml · derivative · entry 4

MCKINNELL HENRY A · CIK 0001174453 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10.224

Underlying: Common Stock · 3.085 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
December 12, 2019 Filed Dec 13, 2019 21:07 UTC GrantPhantom Stock Units (Deferred Performance Shares) · Derivative 3.969 $234.33 $930.06
Disclosure

SEC source: 0001209191-19-060353 · doc4.xml · derivative · entry 3

MCKINNELL HENRY A · CIK 0001174453 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,864.146

Underlying: Common Stock · 3.969 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
December 12, 2019 Filed Dec 13, 2019 21:07 UTC GrantCommon Stock 3.242 $234.52 $760.31
Disclosure

SEC source: 0001209191-19-060353 · doc4.xml · nonDerivative · entry 2

MCKINNELL HENRY A · CIK 0001174453 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,329.719

F2 · shares: RSU deferred dividend reinvestment accrual.

Read SEC document
December 12, 2019 Filed Dec 13, 2019 21:07 UTC GrantCommon Stock 109 $233.98 $25,503.82
Disclosure

SEC source: 0001209191-19-060353 · doc4.xml · nonDerivative · entry 1

MCKINNELL HENRY A · CIK 0001174453 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,326.477

F1 · shares: Restricted Stock deferred dividend reinvestment accrual.

Read SEC document
December 12, 2019 Filed Dec 13, 2019 22:57 UTC GrantDividend Equivalent · Derivative 2.222 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-060496 · doc4.xml · derivative · entry 4

ANDERSON BASIL · CIK 0001180659 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7.363

Underlying: Common Stock · 2.222 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
December 12, 2019 Filed Dec 13, 2019 22:57 UTC GrantPhantom Stock Units (Deferred Compensation) · Derivative 25.315 $234.33 $5,932.06
Disclosure

SEC source: 0001209191-19-060496 · doc4.xml · derivative · entry 3

ANDERSON BASIL · CIK 0001180659 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,082.128

Underlying: Common Stock · 25.315 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
December 12, 2019 Filed Dec 13, 2019 22:57 UTC GrantCommon Stock 2.334 $234.52 $547.37
Disclosure

SEC source: 0001209191-19-060496 · doc4.xml · nonDerivative · entry 2

ANDERSON BASIL · CIK 0001180659 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,752.118

F2 · shares: RSU deferred dividend reinvestment accrual.

Read SEC document
December 12, 2019 Filed Dec 13, 2019 22:57 UTC GrantCommon Stock 87 $233.98 $20,356.26
Disclosure

SEC source: 0001209191-19-060496 · doc4.xml · nonDerivative · entry 1

ANDERSON BASIL · CIK 0001180659 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,749.784

F1 · shares: Restricted Stock deferred dividend reinvestment accrual.

Read SEC document
December 12, 2019 Filed Dec 13, 2019 21:09 UTC GrantDividend Equivalent · Derivative 2.222 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-060360 · doc4.xml · derivative · entry 3

VAN SAUN BRUCE · CIK 0001199914 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7.363

Underlying: Common Stock · 2.222 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
December 12, 2019 Filed Dec 13, 2019 21:09 UTC GrantCommon Stock 2.334 $234.52 $547.37
Disclosure

SEC source: 0001209191-19-060360 · doc4.xml · nonDerivative · entry 2

VAN SAUN BRUCE · CIK 0001199914 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,447.118

F2 · shares: RSU deferred dividend reinvestment accrual.

Read SEC document
December 12, 2019 Filed Dec 13, 2019 21:09 UTC GrantCommon Stock 6 $233.98 $1,403.88
Disclosure

SEC source: 0001209191-19-060360 · doc4.xml · nonDerivative · entry 1

VAN SAUN BRUCE · CIK 0001199914 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,444.784

F1 · shares: Restricted Stock deferred dividend reinvestment accrual.

Read SEC document
December 12, 2019 Filed Dec 13, 2019 22:55 UTC GrantDividend Equivalent · Derivative 2.222 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-060495 · doc4.xml · derivative · entry 3

FORLENZA VINCENT A · CIK 0001221787 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7.363

Underlying: Common Stock · 2.222 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
December 12, 2019 Filed Dec 13, 2019 22:55 UTC GrantPhantom Stock Units (Deferred Compensation) · Derivative 0.0978 $234.33 $22.92
Disclosure

SEC source: 0001209191-19-060495 · doc4.xml · derivative · entry 2

FORLENZA VINCENT A · CIK 0001221787 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 466.596

Underlying: Common Stock · 0.978 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
December 12, 2019 Filed Dec 13, 2019 22:55 UTC GrantCommon Stock 2.415 $234.52 $566.37
Disclosure

SEC source: 0001209191-19-060495 · doc4.xml · nonDerivative · entry 1

FORLENZA VINCENT A · CIK 0001221787 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,672.002

F1 · shares: RSU deferred dividend reinvestment accrual.

Read SEC document
December 12, 2019 Filed Dec 13, 2019 21:08 UTC GrantCommon Stock 14 $233.98 $3,275.72
Disclosure

SEC source: 0001209191-19-060356 · doc4.xml · nonDerivative · entry 1

Seidman Leslie · CIK 0001595268 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,284

F1 · shares: Restricted Stock deferred dividend reinvestment accrual.

Read SEC document
December 12, 2019 Filed Dec 13, 2019 21:06 UTC GrantDividend Equivalent · Derivative 2.2 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-060346 · doc4.xml · derivative · entry 1

Esperdy Therese · CIK 0001767289 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7.291

Underlying: Common Stock · 2.2 shares

Expires not disclosed

F1 · derivative.exercise_price: Dividend Equivalents accrued on exempt grant of unvested RSUs, which will vest and settle with the underlying award.

F1 · derivative.exercise_date: Dividend Equivalents accrued on exempt grant of unvested RSUs, which will vest and settle with the underlying award.

F1 · derivative.expiration_date: Dividend Equivalents accrued on exempt grant of unvested RSUs, which will vest and settle with the underlying award.

Read SEC document
December 12, 2019 Filed Dec 13, 2019 21:05 UTC GrantCommon Stock 16 $233.98 $3,743.68
Disclosure

SEC source: 0001209191-19-060344 · doc4.xml · nonDerivative · entry 1

Bermudez Jorge A. · CIK 0001419202 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,462

F1 · shares: Restricted Stock deferred dividend reinvestment accrual.

Read SEC document
December 12, 2019 Filed Mar 20, 2020 20:05 UTC GrantDividend Equivalent · Derivative 2.039 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-020424 · doc4.xml · derivative · entry 3

VAN SAUN BRUCE · CIK 0001199914 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2.039

Underlying: Common Stock · 2.039 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
December 05, 2019 Filed Dec 6, 2019 21:05 UTC
Kaye MarkSVP & Chief Financial Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 1,373 $0.00 Strike: $156.14 $0.00
Disclosure

SEC source: 0001209191-19-059464 · doc4.xml · derivative · entry 4

Kaye Mark · CIK 0001748691 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,373 shares

Expires 2028-10-23

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.

F2 · kind: Exercise and sale of shares pursuant to Rule 10b5-1 Plan.

F3 · derivative.exercise_date: One fourth of options vest each year beginning with the date indicated.

Read SEC document
December 05, 2019 Filed Dec 6, 2019 21:05 UTC
Kaye MarkSVP & Chief Financial Officer
SaleCommon Stock 1,373 $226.93 $311,574.89
Disclosure

SEC source: 0001209191-19-059464 · doc4.xml · nonDerivative · entry 3

Kaye Mark · CIK 0001748691 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,385

F2 · kind: Exercise and sale of shares pursuant to Rule 10b5-1 Plan.

Read SEC document
December 05, 2019 Filed Dec 6, 2019 21:05 UTC
Kaye MarkSVP & Chief Financial Officer
Exercise / conversionCommon Stock 1,373 $156.14 $214,380.22
Disclosure

SEC source: 0001209191-19-059464 · doc4.xml · nonDerivative · entry 2

Kaye Mark · CIK 0001748691 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,758

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.

F2 · kind: Exercise and sale of shares pursuant to Rule 10b5-1 Plan.

Read SEC document
December 05, 2019 Filed Dec 6, 2019 21:05 UTC
Kaye MarkSVP & Chief Financial Officer
SaleCommon Stock 2,282 $226.93 $517,854.26
Disclosure

SEC source: 0001209191-19-059464 · doc4.xml · nonDerivative · entry 1

Kaye Mark · CIK 0001748691 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,385

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

Read SEC document
November 11, 2019 Filed Nov 12, 2019 22:42 UTC
GOGGINS JOHN JEVP and General Counsel
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 20,784 $0.00 Strike: $30.01 $0.00
Disclosure

SEC source: 0001209191-19-056131 · doc4.xml · derivative · entry 7

GOGGINS JOHN J · CIK 0001195304 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,784 shares

Expires 2021-02-08

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.

F1 · kind: Exercise and sale of shares pursuant to Rule 10b5-1 Plan.

F7 · derivative.exercise_date: One fourth of the options vested each year beginning with the date indicated.

Read SEC document
November 11, 2019 Filed Nov 12, 2019 22:42 UTC
GOGGINS JOHN JEVP and General Counsel
SaleCommon Stock 3,013 $219.00 $659,834.95
Disclosure

SEC source: 0001209191-19-056131 · doc4.xml · nonDerivative · entry 5

GOGGINS JOHN J · CIK 0001195304 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,759

F1 · kind: Exercise and 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 $218.78 to $219.14. 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
November 11, 2019 Filed Nov 12, 2019 22:42 UTC
GOGGINS JOHN JEVP and General Counsel
SaleCommon Stock 14,171 $218.25 $3,092,820.75
Disclosure

SEC source: 0001209191-19-056131 · doc4.xml · nonDerivative · entry 4

GOGGINS JOHN J · CIK 0001195304 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,772

F1 · kind: Exercise and 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 $217.78 to $218.75. 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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November 11, 2019 Filed Nov 12, 2019 22:42 UTC
GOGGINS JOHN JEVP and General Counsel
SaleCommon Stock 1,600 $217.08 $347,334.40
Disclosure

SEC source: 0001209191-19-056131 · doc4.xml · nonDerivative · entry 3

GOGGINS JOHN J · CIK 0001195304 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,943

F1 · kind: Exercise and 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 $216.74 to $217.73. 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.

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November 11, 2019 Filed Nov 12, 2019 22:42 UTC
GOGGINS JOHN JEVP and General Counsel
SaleCommon Stock 2,000 $216.07 $432,140.00
Disclosure

SEC source: 0001209191-19-056131 · doc4.xml · nonDerivative · entry 2

GOGGINS JOHN J · CIK 0001195304 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,543

F1 · kind: Exercise and 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 $215.72 to $216.67. 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.

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November 11, 2019 Filed Nov 12, 2019 22:42 UTC
GOGGINS JOHN JEVP and General Counsel
Exercise / conversionCommon Stock 20,784 $30.01 $623,727.84
Disclosure

SEC source: 0001209191-19-056131 · doc4.xml · nonDerivative · entry 1

GOGGINS JOHN J · CIK 0001195304 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,543

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.

F1 · kind: Exercise and sale of shares pursuant to Rule 10b5-1 Plan.

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November 11, 2019 Filed Nov 12, 2019 22:41 UTC
Fauber RobertPresident-MIS
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 650 $0.00 Strike: $79.55 $0.00
Disclosure

SEC source: 0001209191-19-056129 · doc4.xml · derivative · entry 6

Fauber Robert · CIK 0001481153 · President-MIS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 650 shares

Expires 2024-02-12

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.

F1 · kind: Exercise and sale of shares pursuant to Rule 10b5-1 Plan.

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

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November 11, 2019 Filed Nov 12, 2019 22:41 UTC
Fauber RobertPresident-MIS
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 3,071 $0.00 Strike: $46.43 $0.00
Disclosure

SEC source: 0001209191-19-056129 · doc4.xml · derivative · entry 5

Fauber Robert · CIK 0001481153 · President-MIS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,071 shares

Expires 2023-02-13

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.

F1 · kind: Exercise and sale of shares pursuant to Rule 10b5-1 Plan.

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

Read SEC document
November 11, 2019 Filed Nov 12, 2019 22:41 UTC
Fauber RobertPresident-MIS
SaleCommon Stock 650 $216.26 $140,569.00
Disclosure

SEC source: 0001209191-19-056129 · doc4.xml · nonDerivative · entry 4

Fauber Robert · CIK 0001481153 · President-MIS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,520

F1 · kind: Exercise and sale of shares pursuant to Rule 10b5-1 Plan.

Read SEC document
November 11, 2019 Filed Nov 12, 2019 22:41 UTC
Fauber RobertPresident-MIS
Exercise / conversionCommon Stock 650 $79.55 $51,707.50
Disclosure

SEC source: 0001209191-19-056129 · doc4.xml · nonDerivative · entry 3

Fauber Robert · CIK 0001481153 · President-MIS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,170

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.

F1 · kind: Exercise and sale of shares pursuant to Rule 10b5-1 Plan.

Read SEC document
November 11, 2019 Filed Nov 12, 2019 22:41 UTC
Fauber RobertPresident-MIS
SaleCommon Stock 3,071 $216.26 $664,134.46
Disclosure

SEC source: 0001209191-19-056129 · doc4.xml · nonDerivative · entry 2

Fauber Robert · CIK 0001481153 · President-MIS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,520

F1 · kind: Exercise and sale of shares pursuant to Rule 10b5-1 Plan.

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.