Kaye Mark's Form 4 filing
Moodys Corp (MCO) · filed Aug 17, 2021
- Accession no.
- 0001209191-21-051816
- Filed
- Aug 17, 2021
- Trade date
- Aug 16, 2021
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 2 derivative transactions. Open-market sales total $1.19M. It was filed 1 day after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Kaye MarkCIK 0001748691 | Officer (EVP & Chief Financial Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 16, 2021 | Common Stock | SSaleDisposed | −1,043 | $379.69 | −$396,016.67 | 4,901 | Direct | |
| Aug 16, 2021 | Common Stock | MOption exerciseAcquired | +1,734 | $280.42 | +$486,248.28 | 6,635 | Direct | |
| Aug 16, 2021 | Common Stock | SSaleDisposed | −1,734 | $379.69 | −$658,382.46 | 4,901 | Direct | |
| Aug 16, 2021 | Common Stock | MOption exerciseAcquired | +356 | $277.05 | +$98,629.8 | 5,257 | Direct | |
| Aug 16, 2021 | Common Stock | SSaleDisposed | −356 | $379.69 | −$135,169.64 | 4,901 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 16, 2021 | Common Stock | MOption exerciseDisposed | −1,734 | $0.00 | $0 | 0 | Direct | |
| Aug 16, 2021 | Common Stock | MOption exerciseDisposed | −356 | $0.00 | $0 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.