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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
December 12, 2018 Filed Dec 13, 2018 23:51 UTC GrantCommon Stock 8 $149.45 $1,195.60
Disclosure

SEC source: 0001209191-18-062526 · doc4.xml · nonDerivative · entry 1

VAN SAUN BRUCE · CIK 0001199914 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,361

F1 · shares: Restricted Stock deferred dividend reinvestment accrual

Read SEC document
December 12, 2018 Filed Dec 13, 2018 23:50 UTC GrantCommon Stock 20 $149.45 $2,989.00
Disclosure

SEC source: 0001209191-18-062525 · doc4.xml · nonDerivative · entry 1

Seidman Leslie · CIK 0001595268 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,182

F1 · shares: Restricted Stock deferred dividend reinvestment accrual

Read SEC document
December 12, 2018 Filed Dec 13, 2018 23:48 UTC GrantDividend Equivalent · Derivative 3.319 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-062523 · doc4.xml · derivative · entry 2

FORLENZA VINCENT A · CIK 0001221787 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8.831

Underlying: Common Stock · 3.319 shares

Expires not disclosed

F4 · derivative.exercise_price: Dividend Equivalents accrued on exempt grant of unvested RSUs, which will vest and settle with the underlying award

F4 · derivative.exercise_date: Dividend Equivalents accrued on exempt grant of unvested RSUs, which will vest and settle with the underlying award

F4 · 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, 2018 Filed Dec 13, 2018 23:48 UTC GrantPhantom Stock Units (Deferred Compensation) · Derivative 1.353 $148.43 $200.83
Disclosure

SEC source: 0001209191-18-062523 · doc4.xml · derivative · entry 1

FORLENZA VINCENT A · CIK 0001221787 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 465.641

Underlying: Common Stock · 1.353 shares

Expires not disclosed

F1 · security: Phantom Stock Units arising out of the Reporting Person's election to defer receipt of retainer fees.

F2 · derivative.exercise_price: The security converts to common stock on a one-for-one basis.

F3 · derivative.exercise_date: These units are to be settled in cash after the Reporting Person's retirement.

F3 · derivative.expiration_date: These units are to be settled in cash after the Reporting Person's retirement.

Read SEC document
November 16, 2018 Filed Nov 19, 2018 21:03 UTC
Worrall BlairSVP-Ratings Delivery and Data
Exercise / conversionEmployee Stock Options (right to buy) · Derivative 4,361 $0.00 Strike: $80.81 $0.00
Disclosure

SEC source: 0001209191-18-059151 · doc4.xml · derivative · entry 5

Worrall Blair · CIK 0001570618 · SVP-Ratings Delivery and Data

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,361 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.

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

Read SEC document
November 16, 2018 Filed Nov 19, 2018 21:03 UTC
Worrall BlairSVP-Ratings Delivery and Data
SaleCommon Stock 4,361 $147.49 $643,182.09
Disclosure

SEC source: 0001209191-18-059151 · doc4.xml · nonDerivative · entry 3

Worrall Blair · CIK 0001570618 · SVP-Ratings Delivery and Data

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,943

F1 · price: The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $147.48 to $147.54. 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 16, 2018 Filed Nov 19, 2018 21:03 UTC
Worrall BlairSVP-Ratings Delivery and Data
Exercise / conversionCommon Stock 4,361 $80.81 $352,412.41
Disclosure

SEC source: 0001209191-18-059151 · doc4.xml · nonDerivative · entry 2

Worrall Blair · CIK 0001570618 · SVP-Ratings Delivery and Data

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,304

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
November 16, 2018 Filed Nov 19, 2018 21:03 UTC
Worrall BlairSVP-Ratings Delivery and Data
SaleCommon Stock 1,200 $147.22 $176,664.00
Disclosure

SEC source: 0001209191-18-059151 · doc4.xml · nonDerivative · entry 1

Worrall Blair · CIK 0001570618 · SVP-Ratings Delivery and Data

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,943

Read SEC document
November 07, 2018 Filed Feb 8, 2019 21:02 UTC
Almeida MarkPresident, Moody's Analytics
GiftCommon Stock 1,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-008465 · doc5.xml · nonDerivative · entry 1

Almeida Mark · CIK 0001409155 · President, Moody's Analytics

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,539

Read SEC document
October 23, 2018 Filed Oct 25, 2018 20:08 UTC
Kaye MarkSVP & Chief Financial Officer
GrantEmployee Stock Option (right to buy) · Derivative 5,493 $0.00 Strike: $156.14 $0.00
Disclosure

SEC source: 0001209191-18-056154 · doc4.xml · derivative · entry 2

Kaye Mark · CIK 0001748691 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,493 shares

Expires 2028-10-23

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

Read SEC document
October 23, 2018 Filed Oct 25, 2018 20:08 UTC
Kaye MarkSVP & Chief Financial Officer
GrantCommon Stock 1,473 $156.14 $229,994.22
Disclosure

SEC source: 0001209191-18-056154 · doc4.xml · nonDerivative · entry 1

Kaye Mark · CIK 0001748691 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,576

F1 · shares: Exempt grant of restricted stock units.

Read SEC document
October 01, 2018 Filed Oct 2, 2018 20:04 UTC GrantPhantom Stock Units (Deferred Compensation) · Derivative 154.813 $169.56 $26,250.09
Disclosure

SEC source: 0001209191-18-053070 · doc4.xml · derivative · entry 1

FORLENZA VINCENT A · CIK 0001221787 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 462.786

Underlying: Common Stock · 154.813 shares

Expires not disclosed

F1 · security: Phantom Stock Units arising out of the Reporting Person's election to defer receipt of retainer fees.

F2 · derivative.exercise_price: The security converts to common stock on a one-for-one basis.

F3 · derivative.exercise_date: These units are to be settled in cash after the Reporting Person's retirement.

F3 · derivative.expiration_date: These units are to be settled in cash after the Reporting Person's retirement.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 20:07 UTC
Kaye MarkSVP & Chief Financial Officer
GrantCommon Stock 7,103 $168.94 $1,199,980.82
Disclosure

SEC source: 0001209191-18-053759 · doc4.xml · nonDerivative · entry 1

Kaye Mark · CIK 0001748691 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,103

F1 · shares: Exempt grant of restricted stock units.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 20:06 UTC
Hughes MelanieSVP & Chief HR Officer
Tax withholdingCommon Stock 245 $168.94 $41,390.30
Disclosure

SEC source: 0001209191-18-053757 · doc4.xml · nonDerivative · entry 1

Hughes Melanie · CIK 0001380530 · SVP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,452

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

Read SEC document
September 10, 2018 Filed Sep 11, 2018 20:08 UTC GrantDividend Equivalent · Derivative 2.672 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-050456 · doc4.xml · derivative · entry 2

VAN SAUN BRUCE · CIK 0001199914 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8.112

Underlying: Common Stock · 2.672 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, 2018 Filed Sep 11, 2018 20:08 UTC GrantCommon Stock 8 $177.46 $1,419.68
Disclosure

SEC source: 0001209191-18-050456 · doc4.xml · nonDerivative · entry 1

VAN SAUN BRUCE · CIK 0001199914 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,353

F1 · shares: Restricted Stock deferred dividend reinvestment accrual

Read SEC document
September 10, 2018 Filed Sep 11, 2018 20:07 UTC GrantCommon Stock 17 $177.46 $3,016.82
Disclosure

SEC source: 0001209191-18-050455 · doc4.xml · nonDerivative · entry 1

Seidman Leslie · CIK 0001595268 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,162

F1 · shares: Restricted Stock deferred dividend reinvestment accrual

Read SEC document
September 10, 2018 Filed Sep 11, 2018 20:06 UTC GrantDividend Equivalent · Derivative 3.711 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-050454 · doc4.xml · derivative · entry 3

MCKINNELL HENRY A · CIK 0001174453 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11.266

Underlying: Common Stock · 3.711 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, 2018 Filed Sep 11, 2018 20:06 UTC GrantPhantom Stock Units (Deferred Performance Shares) · Derivative 4.559 $177.16 $807.67
Disclosure

SEC source: 0001209191-18-050454 · doc4.xml · derivative · entry 2

MCKINNELL HENRY A · CIK 0001174453 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,840.327

Underlying: Common Stock · 4.559 shares

Expires not disclosed

F2 · security: Phantom stock units arising out of the Reporting Person's election to defer receipt of earned performance shares.

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 stock after the Reporting Person's retirement.

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

Read SEC document
September 10, 2018 Filed Sep 11, 2018 20:06 UTC GrantCommon Stock 127 $177.46 $22,537.42
Disclosure

SEC source: 0001209191-18-050454 · doc4.xml · nonDerivative · entry 1

MCKINNELL HENRY A · CIK 0001174453 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,203

F1 · shares: Restricted Stock deferred dividend reinvestment accrual.

Read SEC document
September 10, 2018 Filed Sep 11, 2018 20:05 UTC GrantDividend Equivalent · Derivative 2.765 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-050453 · doc4.xml · derivative · entry 2

FORLENZA VINCENT A · CIK 0001221787 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5.512

Underlying: Common Stock · 2.765 shares

Expires not disclosed

F4 · derivative.exercise_price: Dividend Equivalents accrued on exempt grant of unvested RSUs, which will vest and settle with the underlying award

F4 · derivative.exercise_date: Dividend Equivalents accrued on exempt grant of unvested RSUs, which will vest and settle with the underlying award

F4 · 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, 2018 Filed Sep 11, 2018 20:05 UTC GrantPhantom Stock Units (Deferred Compensation) · Derivative 0.75 $177.16 $132.87
Disclosure

SEC source: 0001209191-18-050453 · doc4.xml · derivative · entry 1

FORLENZA VINCENT A · CIK 0001221787 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 307.653

Underlying: Common Stock · 0.75 shares

Expires not disclosed

F1 · security: Phantom Stock Units arising out of the Reporting Person's election to defer receipt of retainer fees.

F2 · derivative.exercise_price: The security converts to common stock on a one-for-one basis.

F3 · derivative.exercise_date: These units are to be settled in cash after the Reporting Person's retirement.

F3 · derivative.expiration_date: These units are to be settled in cash after the Reporting Person's retirement.

Read SEC document
September 10, 2018 Filed Sep 11, 2018 20:04 UTC GrantCommon Stock 20 $177.46 $3,549.20
Disclosure

SEC source: 0001209191-18-050451 · doc4.xml · nonDerivative · entry 1

Bermudez Jorge A. · CIK 0001419202 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,326

F1 · shares: Restricted Stock deferred dividend reinvestment accrual.

Read SEC document
September 10, 2018 Filed Sep 11, 2018 20:02 UTC GrantDividend Equivalent · Derivative 2.672 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-050449 · doc4.xml · derivative · entry 3

ANDERSON BASIL · CIK 0001180659 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8.112

Underlying: Common Stock · 2.672 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, 2018 Filed Sep 11, 2018 20:02 UTC GrantPhantom Stock Units (Deferred Compensation) · Derivative 29.2 $177.16 $5,173.07
Disclosure

SEC source: 0001209191-18-050449 · doc4.xml · derivative · entry 2

ANDERSON BASIL · CIK 0001180659 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,970.976

Underlying: Common Stock · 29.2 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, 2018 Filed Sep 11, 2018 20:02 UTC GrantCommon Stock 102 $177.46 $18,100.92
Disclosure

SEC source: 0001209191-18-050449 · doc4.xml · nonDerivative · entry 1

ANDERSON BASIL · CIK 0001180659 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,171

F1 · shares: Restricted Stock deferred dividend reinvestment accrual.

Read SEC document
August 06, 2018 Filed Aug 8, 2018 20:02 UTC
Huber LindaFormer Executive VP and CFO
PurchaseCommon Stock 915 $172.31 $157,667.31
Disclosure

SEC source: 0001209191-18-045807 · doc4.xml · nonDerivative · entry 1

Huber Linda · CIK 0001327278 · Former Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,484

F1 · price: The price reported in Column 4 is a weighted average sales price. The shares were purchased in multiple transactions at prices ranging from $172.31 to $172.32. 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 purchased at each separate price.

F2 · balance_after: Includes an aggregate of 79 shares of Common Stock purchased by the Reporting Person under the Moody's Corporation 1999 Employee Stock Purchase Plan on January 1, 2018 in transactions that were exempt under Rule 16b-3(c).

Read SEC document
July 02, 2018 Filed Jul 3, 2018 21:46 UTC GrantPhantom Stock Units (Deferred Compensation) · Derivative 307.072 $170.97 $52,500.10
Disclosure

SEC source: 0001209191-18-041270 · doc4.xml · derivative · entry 1

FORLENZA VINCENT A · CIK 0001221787 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 307.072

Underlying: Common Stock · 307.072 shares

Expires not disclosed

F1 · security: Phantom Stock Units arising out of the Reporting Person's election to defer receipt of retainer fees.

F2 · derivative.exercise_price: The security converts to common stock on a one-for-one basis.

F3 · derivative.exercise_date: These units are to be settled in cash after the Reporting Person's retirement.

F3 · derivative.expiration_date: These units are to be settled in cash after the Reporting Person's retirement.

Read SEC document
June 14, 2018 Filed Jun 18, 2018 20:28 UTC
MCDANIEL RAYMOND WDirector · President and CEO
SaleCommon Stock 10,000 $176.16 $1,761,600.00
Disclosure

SEC source: 0001209191-18-038313 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Trust 2

Disclosed balance after: 23,080

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 $175.53 to $177.48. 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 11, 2018 Filed Jun 13, 2018 20:06 UTC GrantDividend Equivalent · Derivative 2.655 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-037444 · doc4.xml · derivative · entry 2

VAN SAUN BRUCE · CIK 0001199914 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5.44

Underlying: Common Stock · 2.655 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 11, 2018 Filed Jun 13, 2018 20:06 UTC GrantCommon Stock 8 $178.50 $1,428.00
Disclosure

SEC source: 0001209191-18-037444 · doc4.xml · nonDerivative · entry 1

VAN SAUN BRUCE · CIK 0001199914 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,345

F1 · shares: Restricted Stock deferred dividend reinvestment accrual

Read SEC document
June 11, 2018 Filed Jun 13, 2018 20:05 UTC GrantCommon Stock 17 $178.50 $3,034.50
Disclosure

SEC source: 0001209191-18-037442 · doc4.xml · nonDerivative · entry 1

Seidman Leslie · CIK 0001595268 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,145

F1 · shares: Restricted Stock deferred dividend reinvestment accrual

Read SEC document
June 11, 2018 Filed Jun 13, 2018 20:04 UTC GrantDividend Equivalent · Derivative 3.687 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-037440 · doc4.xml · derivative · entry 3

MCKINNELL HENRY A · CIK 0001174453 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7.555

Underlying: Common Stock · 3.687 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 11, 2018 Filed Jun 13, 2018 20:04 UTC GrantPhantom Stock Units (Deferred Performance Shares) · Derivative 4.531 $177.82 $805.70
Disclosure

SEC source: 0001209191-18-037440 · doc4.xml · derivative · entry 2

MCKINNELL HENRY A · CIK 0001174453 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,835.768

Underlying: Common Stock · 4.531 shares

Expires not disclosed

F2 · security: Phantom stock units arising out of the Reporting Person's election to defer receipt of earned performance shares.

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 stock after the Reporting Person's retirement.

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

Read SEC document
June 11, 2018 Filed Jun 13, 2018 20:04 UTC GrantCommon Stock 125 $178.50 $22,312.50
Disclosure

SEC source: 0001209191-18-037440 · doc4.xml · nonDerivative · entry 1

MCKINNELL HENRY A · CIK 0001174453 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,076

F1 · shares: Restricted Stock deferred dividend reinvestment accrual.

Read SEC document
June 11, 2018 Filed Jun 13, 2018 20:04 UTC GrantDividend Equivalent · Derivative 2.747 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-037438 · doc4.xml · derivative · entry 1

FORLENZA VINCENT A · CIK 0001221787 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2.747

Underlying: Common Stock · 2.747 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
June 11, 2018 Filed Jun 13, 2018 20:02 UTC GrantDividend Equivalent · Derivative 2.655 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-037433 · doc4.xml · derivative · entry 3

ANDERSON BASIL · CIK 0001180659 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5.44

Underlying: Common Stock · 2.655 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 11, 2018 Filed Jun 13, 2018 20:02 UTC GrantPhantom Stock Units (Deferred Compensation) · Derivative 28.951 $177.82 $5,148.07
Disclosure

SEC source: 0001209191-18-037433 · doc4.xml · derivative · entry 2

ANDERSON BASIL · CIK 0001180659 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,939.296

Underlying: Common Stock · 28.951 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 11, 2018 Filed Jun 13, 2018 20:02 UTC GrantCommon Stock 100 $178.50 $17,850.00
Disclosure

SEC source: 0001209191-18-037433 · doc4.xml · nonDerivative · entry 1

ANDERSON BASIL · CIK 0001180659 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,069

F1 · shares: Restricted Stock deferred dividend reinvestment accrual.

Read SEC document
June 11, 2018 Filed Jun 13, 2018 20:03 UTC GrantCommon Stock 20 $178.50 $3,570.00
Disclosure

SEC source: 0001209191-18-037437 · doc4.xml · nonDerivative · entry 1

Bermudez Jorge A. · CIK 0001419202 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,306

F1 · shares: Restricted Stock deferred dividend reinvestment accrual.

Read SEC document
May 30, 2018 Filed Jun 1, 2018 21:52 UTC
GOGGINS JOHN JEVP and General Counsel
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 26,254 $0.00 Strike: $25.37 $0.00
Disclosure

SEC source: 0001209191-18-034802 · doc4.xml · derivative · entry 6

GOGGINS JOHN J · CIK 0001195304 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 26,254 shares

Expires 2019-02-10

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.

F6 · derivative.exercise_date: One fourth of the options vested each year beginning with the date indicated.

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May 30, 2018 Filed Jun 1, 2018 21:52 UTC
GOGGINS JOHN JEVP and General Counsel
SaleCommon Stock 11,500 $173.04 $1,989,971.50
Disclosure

SEC source: 0001209191-18-034802 · doc4.xml · nonDerivative · entry 4

GOGGINS JOHN J · CIK 0001195304 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,919

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 $172.90 to $173.30. 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 30, 2018 Filed Jun 1, 2018 21:52 UTC
GOGGINS JOHN JEVP and General Counsel
SaleCommon Stock 11,654 $172.30 $2,008,007.51
Disclosure

SEC source: 0001209191-18-034802 · doc4.xml · nonDerivative · entry 3

GOGGINS JOHN J · CIK 0001195304 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,419

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 $171.89 to $172.88. 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 30, 2018 Filed Jun 1, 2018 21:52 UTC
GOGGINS JOHN JEVP and General Counsel
SaleCommon Stock 3,100 $171.66 $532,133.60
Disclosure

SEC source: 0001209191-18-034802 · doc4.xml · nonDerivative · entry 2

GOGGINS JOHN J · CIK 0001195304 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,073

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 $170.88 to $171.86. 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 30, 2018 Filed Jun 1, 2018 21:52 UTC
GOGGINS JOHN JEVP and General Counsel
Exercise / conversionCommon Stock 26,254 $25.37 $666,063.98
Disclosure

SEC source: 0001209191-18-034802 · doc4.xml · nonDerivative · entry 1

GOGGINS JOHN J · CIK 0001195304 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,173

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
May 16, 2018 Filed May 18, 2018 20:10 UTC
GOGGINS JOHN JEVP and General Counsel
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 26,255 $0.00 Strike: $25.37 $0.00
Disclosure

SEC source: 0001209191-18-031387 · doc4.xml · derivative · entry 5

GOGGINS JOHN J · CIK 0001195304 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 26,255 shares

Expires 2019-02-10

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.

F5 · derivative.exercise_date: One fourth of the options vested each year beginning with the date indicated.

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May 16, 2018 Filed May 18, 2018 20:10 UTC
GOGGINS JOHN JEVP and General Counsel
SaleCommon Stock 22,200 $172.48 $3,828,945.00
Disclosure

SEC source: 0001209191-18-031387 · doc4.xml · nonDerivative · entry 3

GOGGINS JOHN J · CIK 0001195304 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,919

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 $172.29 to $173.04. 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 16, 2018 Filed May 18, 2018 20:10 UTC
GOGGINS JOHN JEVP and General Counsel
SaleCommon Stock 4,055 $171.48 $695,335.18
Disclosure

SEC source: 0001209191-18-031387 · doc4.xml · nonDerivative · entry 2

GOGGINS JOHN J · CIK 0001195304 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,119

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 $171.12 to $171.96. 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 16, 2018 Filed May 18, 2018 20:10 UTC
GOGGINS JOHN JEVP and General Counsel
Exercise / conversionCommon Stock 26,255 $25.37 $666,089.35
Disclosure

SEC source: 0001209191-18-031387 · doc4.xml · nonDerivative · entry 1

GOGGINS JOHN J · CIK 0001195304 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,174

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
May 14, 2018 Filed May 16, 2018 21:26 UTC
MCDANIEL RAYMOND WDirector · President and CEO
GiftCommon Stock 33,080 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-030615 · doc4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Trust 2

Disclosed balance after: 33,080

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