Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| MOODYS CORP /DE/MCO · Entity 386 | President, Moody's Analytics | August 14, 2019 | August 16, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
MOODYS CORP /DE/
Report date August 14, 2019 · Filed August 16, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 155,455 |
Ending reported balance
After 2019-08-14 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2019-08-14 · Exercise / conversion · Acquired 27,236 · Balance 182,691 Row 2 · 2019-08-14 · Sale · Disposed 23,070 · Balance 159,621 F1: The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $206.50 to $207.49. 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. Row 3 · 2019-08-14 · Sale · Disposed 4,166 · Balance 155,455 F2: The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $207.52 to $208.30. 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. |
| Employee stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $26.78 · Expires 2020-02-09 | Direct | 0 |
Reported balance
After 2019-08-14 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-08-14 · Exercise / conversion · Disposed 27,236 · Balance 0 F4: One fourth of the options vested each year beginning with the date indicated. |
| Common StockSEC Table I · non-derivative | Indirect401-K | 17,930 |
Reported balance
Holding disclosure · report date 2019-08-14 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 17,930 F3: As of the last statement dated June 30, 2019. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $206.50 to $207.49. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.
F2: The price reported in Column 4 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $207.52 to $208.30. 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.
F3: As of the last statement dated June 30, 2019.
F4: One fourth of the options vested each year beginning with the date indicated.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 14, 2019 Filed Aug 16, 2019 20:05 UTC | MOODYS CORP /DE/ MCO · Entity 386 | Exercise / conversionEmployee stock option (right to buy) · Derivative | 27,236 | $0.00 Strike: $26.78 | $0.00 |
DisclosureSEC source: 0001209191-19-046286 · doc4.xml · derivative · entry 5 Almeida Mark · CIK 0001409155 · President, Moody's Analytics 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 27,236 shares Expires 2020-02-09 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 the options vested each year beginning with the date indicated. Read SEC document |
| August 14, 2019 Filed Aug 16, 2019 20:05 UTC | MOODYS CORP /DE/ MCO · Entity 386 | SaleCommon Stock | 4,166 | $207.80 | $865,703.13 |
DisclosureSEC source: 0001209191-19-046286 · doc4.xml · nonDerivative · entry 3 Almeida Mark · CIK 0001409155 · President, Moody's Analytics 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 155,455 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 $207.52 to $208.30. 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. Read SEC document |
| August 14, 2019 Filed Aug 16, 2019 20:05 UTC | MOODYS CORP /DE/ MCO · Entity 386 | SaleCommon Stock | 23,070 | $206.92 | $4,773,667.47 |
DisclosureSEC source: 0001209191-19-046286 · doc4.xml · nonDerivative · entry 2 Almeida Mark · CIK 0001409155 · President, Moody's Analytics 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,621 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 $206.50 to $207.49. 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 |
| August 14, 2019 Filed Aug 16, 2019 20:05 UTC | MOODYS CORP /DE/ MCO · Entity 386 | Exercise / conversionCommon Stock | 27,236 | $26.78 | $729,380.08 |
DisclosureSEC source: 0001209191-19-046286 · doc4.xml · nonDerivative · entry 1 Almeida Mark · CIK 0001409155 · President, Moody's Analytics 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 182,691 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 |
| March 01, 2019 Filed Mar 5, 2019 21:01 UTC | MOODYS CORP /DE/ MCO · Entity 386 | Tax withholdingCommon Stock | 6,577 | $175.32 | $1,153,079.64 |
DisclosureSEC source: 0001209191-19-016373 · doc4.xml · nonDerivative · entry 2 Almeida Mark · CIK 0001409155 · President, Moody's Analytics 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 155,310 F2 · shares: Disposition of shares to satisfy tax withholding obligation. Read SEC document |
| March 01, 2019 Filed Mar 5, 2019 21:01 UTC | MOODYS CORP /DE/ MCO · Entity 386 | GrantCommon Stock | 11,380 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-016373 · doc4.xml · nonDerivative · entry 1 Almeida Mark · CIK 0001409155 · President, Moody's Analytics 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 161,887 F1 · shares: Receipt of shares acquired upon settlement of 2016-2018 Performance Shares. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 23:15 UTC | MOODYS CORP /DE/ MCO · Entity 386 | GrantEmployee Stock Option (right to buy) · Derivative | 7,796 | $0.00 Strike: $173.58 | $0.00 |
DisclosureSEC source: 0001209191-19-014192 · doc4.xml · derivative · entry 3 Almeida Mark · CIK 0001409155 · President, Moody's Analytics 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,796 Underlying: Common Stock · 7,796 shares Expires 2029-02-25 F3 · derivative.exercise_date: One fourth of the options vest each year beginning with the date indicated. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 23:15 UTC | MOODYS CORP /DE/ MCO · Entity 386 | GrantCommon Stock | 1,936 | $173.58 | $336,050.88 |
DisclosureSEC source: 0001209191-19-014192 · doc4.xml · nonDerivative · entry 1 Almeida Mark · CIK 0001409155 · President, Moody's Analytics 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,507 F1 · shares: Exempt grant of restricted stock units. Read SEC document |
| November 07, 2018 Filed Feb 8, 2019 21:02 UTC | MOODYS CORP /DE/ MCO · Entity 386 | GiftCommon Stock | 1,000 | $0.00 | $0.00 |
DisclosureSEC 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 |
| March 01, 2018 Filed Mar 5, 2018 21:04 UTC | MOODYS CORP /DE/ MCO · Entity 386 | Tax withholdingCommon Stock | 3,691 | $166.82 | $615,732.62 |
DisclosureSEC source: 0001209191-18-016359 · doc4.xml · nonDerivative · entry 2 Almeida Mark · CIK 0001409155 · President, Moody's Analytics 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 149,398 F2 · shares: Disposition of shares to satisfy tax withholding obligation. Read SEC document |
| March 01, 2018 Filed Mar 5, 2018 21:04 UTC | MOODYS CORP /DE/ MCO · Entity 386 | GrantCommon Stock | 6,227 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-016359 · doc4.xml · nonDerivative · entry 1 Almeida Mark · CIK 0001409155 · President, Moody's Analytics 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 153,089 F1 · shares: Receipt of shares acquired upon settlement of 2015-2017 Performance Shares. Read SEC document |
| February 16, 2018 Filed Feb 21, 2018 22:04 UTC | MOODYS CORP /DE/ MCO · Entity 386 | GrantEmployee Stock Option (right to buy) · Derivative | 7,325 | $0.00 Strike: $167.50 | $0.00 |
DisclosureSEC source: 0001209191-18-011989 · doc4.xml · derivative · entry 3 Almeida Mark · CIK 0001409155 · President, Moody's Analytics 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,325 Underlying: Common Stock · 7,325 shares Expires 2028-02-16 F3 · derivative.exercise_date: One fourth of the options vest each year beginning with the date indicated. Read SEC document |
| February 16, 2018 Filed Feb 21, 2018 22:04 UTC | MOODYS CORP /DE/ MCO · Entity 386 | GrantCommon Stock | 2,006 | $167.50 | $336,005.00 |
DisclosureSEC source: 0001209191-18-011989 · doc4.xml · nonDerivative · entry 1 Almeida Mark · CIK 0001409155 · President, Moody's Analytics 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 146,862 F1 · shares: Exempt grant of restricted stock units. Read SEC document |
| January 31, 2018 Filed Feb 2, 2018 21:09 UTC | MOODYS CORP /DE/ MCO · Entity 386 | Exercise / conversionEmployee stock option (right to buy) · Derivative | 62,500 | $0.00 Strike: $38.07 | $0.00 |
DisclosureSEC source: 0001209191-18-006808 · doc4.xml · derivative · entry 6 Almeida Mark · CIK 0001409155 · President, Moody's Analytics 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 62,500 shares Expires 2018-02-12 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. F2 · 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. Read SEC document |
| January 31, 2018 Filed Feb 2, 2018 21:09 UTC | MOODYS CORP /DE/ MCO · Entity 386 | SaleCommon Stock | 52,829 | $161.81 | $8,547,996.35 |
DisclosureSEC source: 0001209191-18-006808 · doc4.xml · nonDerivative · entry 4 Almeida Mark · CIK 0001409155 · President, Moody's Analytics 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 144,826 F2 · 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 $161.63 to $162.18. 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 |
| January 31, 2018 Filed Feb 2, 2018 21:09 UTC | MOODYS CORP /DE/ MCO · Entity 386 | SaleCommon Stock | 9,671 | $161.29 | $1,559,787.24 |
DisclosureSEC source: 0001209191-18-006808 · doc4.xml · nonDerivative · entry 3 Almeida Mark · CIK 0001409155 · President, Moody's Analytics 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 197,655 F2 · 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 $160.63 to $161.62. 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. Read SEC document |
| January 31, 2018 Filed Feb 2, 2018 21:09 UTC | MOODYS CORP /DE/ MCO · Entity 386 | Exercise / conversionCommon Stock | 62,500 | $38.07 | $2,379,375.00 |
DisclosureSEC source: 0001209191-18-006808 · doc4.xml · nonDerivative · entry 2 Almeida Mark · CIK 0001409155 · President, Moody's Analytics 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 207,326 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 |
| November 22, 2017 Filed Feb 2, 2018 21:09 UTC | MOODYS CORP /DE/ MCO · Entity 386 | GiftCommon Stock | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-006808 · doc4.xml · nonDerivative · entry 1 Almeida Mark · CIK 0001409155 · President, Moody's Analytics 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 144,826 F1 · balance_after: Includes an aggregate of 216 shares of Common Stock purchased by the Reporting Person under the Moody's Corporation 1999 Employee Stock Purchase Plan on February 28, 2017 and March 31, 2017. Read SEC document |
| March 01, 2017 Filed Mar 2, 2017 21:01 UTC | MOODYS CORP /DE/ MCO · Entity 386 | Tax withholdingCommon Stock | 4,237 | $112.91 | $478,399.67 |
DisclosureSEC source: 0001209191-17-016496 · doc4.xml · nonDerivative · entry 2 Almeida Mark · CIK 0001409155 · President, Moody's Analytics 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 145,610 F2 · shares: Disposition of vested performance shares. Read SEC document |
| March 01, 2017 Filed Mar 2, 2017 21:01 UTC | MOODYS CORP /DE/ MCO · Entity 386 | GrantCommon Stock | 7,589 | $112.91 | $856,873.99 |
DisclosureSEC source: 0001209191-17-016496 · doc4.xml · nonDerivative · entry 1 Almeida Mark · CIK 0001409155 · President, Moody's Analytics 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 149,847 F1 · shares: Receipt of shares acquired upon settlement of 2014-2016 Performance Shares. Read SEC document |
| February 23, 2017 Filed Feb 27, 2017 21:18 UTC | MOODYS CORP /DE/ MCO · Entity 386 | GrantEmployee Stock Option (right to buy) · Derivative | 10,710 | $0.00 Strike: $113.34 | $0.00 |
DisclosureSEC source: 0001209191-17-014739 · doc4.xml · derivative · entry 3 Almeida Mark · CIK 0001409155 · President, Moody's Analytics 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,710 Underlying: Common Stock · 10,710 shares Expires 2027-02-23 F3 · derivative.exercise_date: One fourth of the options vest each year beginning with the date indicated. Read SEC document |
| February 23, 2017 Filed Feb 27, 2017 21:18 UTC | MOODYS CORP /DE/ MCO · Entity 386 | GrantCommon Stock | 2,823 | $113.34 | $319,958.82 |
DisclosureSEC source: 0001209191-17-014739 · doc4.xml · nonDerivative · entry 1 Almeida Mark · CIK 0001409155 · President, Moody's Analytics 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142,258 F1 · shares: Exempt grant of performance accelerated restricted stock. 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.