-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, NWnKYiW0WlqUuHuUXSaemiBGB4kfte1thXXSfHlPpGIDb7l61Rwf9gbdqYLopoAw 8YlMupJ5HXazLz+MXu9zww== 0000893750-00-000402.txt : 20001013 0000893750-00-000402.hdr.sgml : 20001013 ACCESSION NUMBER: 0000893750-00-000402 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20001001 FILED AS OF DATE: 20001010 DATE AS OF CHANGE: 20001012 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MOODYS CORP /DE/ CENTRAL INDEX KEY: 0001059556 STANDARD INDUSTRIAL CLASSIFICATION: 7320 IRS NUMBER: 133998945 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 001-14037 FILM NUMBER: 738139 BUSINESS ADDRESS: STREET 1: 99 CHURCH STREET STREET 2: C/O MOODY'S CORPORATION CITY: NEW YORK STATE: NY ZIP: 10007 BUSINESS PHONE: 2125530300 MAIL ADDRESS: STREET 1: 99 CHURCH STREET STREET 2: C/O MOODY'S CORPORATION CITY: NEW YORK STATE: NY ZIP: 10007 FORMER COMPANY: FORMER CONFORMED NAME: DUN & BRADSTREET CORP /DE/ DATE OF NAME CHANGE: 19980728 FORMER COMPANY: FORMER CONFORMED NAME: NEW DUN & BRADSTREET CORP DATE OF NAME CHANGE: 19980728 COMPANY DATA: COMPANY CONFORMED NAME: DERING JEANNE CENTRAL INDEX KEY: 0001126107 STANDARD INDUSTRIAL CLASSIFICATION: OFFICER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: C/O MOODYS CORP STREET 2: 99 CHURCH STREET CITY: NEW YORK STATE: NY ZIP: 10007 BUSINESS PHONE: 2125537211 MAIL ADDRESS: STREET 1: C/O MOODYS CORP STREET 2: 99 CHURCH STREET CITY: NEW YORK STATE: NY ZIP: 10007 3 1 0001.txt OMB APPROVAL OMB Number: 3235-0104 Expires: September 30, 1998 Estimated average burden hours per response . . . . . . . . . . 0.5 UNITED STATES SECURITIES AND EXCHANGE COMMISSION FORM 3 Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 1. Name and Address of Reporting Person Dering Jeanne M. (Last) (First) (Middle) 99 Church Street (Street) New York New York 10007 (City) (State) (Zip) 2. Date of Event Requiring Statement (Month/Day/Year) 10/1/00 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Issuer Name and Ticker or Trading Symbol Moody's Corporation (MCO) 5. Relationship of Reporting Person to Issuer (Check all applicable) Director 10% Owner ----- ----- X Officer (give title below) Other (specify below) ----- ----- Senior Vice President, Chief Financial Officer and Treasurer 6. If Amendment, Date of Original (Month/Day/Year) 7. Individual or Joint/Group Filing (Check Applicable Line) X Form filed by One Reporting Person ----- Form filed by More than One Reporting Person ----- Page 1 of 8 FORM 3 (continued) ================================================================================ Table I -- Non-Derivative Securities Beneficially Owned ================================================================================
3. Ownership Form: 2. Amount of Securities Direct (D) or 1. Title of Security Beneficially Owned Indirect (I) 4. Nature of Indirect Beneficial Ownership (Instr. 4) (Instr. 4) (Instr. 5) (Instr. 5) - - ---------------------------------------------------------------------------------------------------------------------------------- Common Stock 6808 D - - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 800 I 401(K) Plan - - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 2504 I Spouse - - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 1401 I Spouse 401(K) Plan - - ----------------------------------------------------------------------------------------------------------------------------------- - - ----------------------------------------------------------------------------------------------------------------------------------- - - ----------------------------------------------------------------------------------------------------------------------------------- - - ----------------------------------------------------------------------------------------------------------------------------------- - - ----------------------------------------------------------------------------------------------------------------------------------- - - ----------------------------------------------------------------------------------------------------------------------------------- ===================================================================================================================================
Reminder: Report on a separate line each class of securities beneficially owned directly or indirectly. (Print or Type Responses) Page 2 of 8 FORM 3 (continued) Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
5. Owner- 3. Title and Amount of Securities ship Underlying Derivative Security Form of 2. Date Exercisable (Instr. 4) Derivative and Expiration Date --------------------------------- 4. Conver- Security: (Month/Day/Year) Amount sion or Direct 6. Nature of ---------------------- or Exercise (D) or Indirect Date Expira- Number Price of Indirect Beneficial 1. Title of Derivative Exer- tion of Derivative (I) Ownership Security (Instr. 4) cisable Date Title Shares Security (Instr. 5) (Instr. 5) - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 7/16/98 7/15/07 Common Stock 2,111 $19.6954 D - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 7/16/99 7/15/07 Common Stock 2,111 $19.6954 D - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 7/16/00 7/15/07 Common Stock 2,111 $19.6954 D - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 7/16/01 7/15/07 Common Stock 2,112 $19.6954 D - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 12/22/98 12/22/07 Common Stock 1,749 $21.4718 D - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 12/22/99 12/22/07 Common Stock 1,749 $21.4718 D - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 12/22/00 12/22/07 Common Stock 1,749 $21.4718 D - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 12/22/01 12/22/07 Common Stock 1,749 $21.4718 D - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 7/1/03 7/1/08 Common Stock 8,210 $25.7728 D - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 12/21/02 12/21/09 Common Stock 3,380 $21.9833 D - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 12/21/03 12/21/09 Common Stock 3,380 $21.9833 D ====================================================================================================================================
Page 3 of 8 FORM 3 (continued) Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
5. Owner- 3. Title and Amount of Securities ship Underlying Derivative Security Form of 2. Date Exercisable (Instr. 4) Derivative and Expiration Date --------------------------------- 4. Conver- Security: (Month/Day/Year) Amount sion or Direct 6. Nature of ---------------------- or Exercise (D) or Indirect Date Expira- Number Price of Indirect Beneficial 1. Title of Derivative Exer- tion of Derivative (I) Ownership Security (Instr. 4) cisable Date Title Shares Security (Instr. 5) (Instr. 5) - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 12/21/04 12/21/09 Common Stock 3,380 $21.9833 D - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 1/19/03 1/19/10 Common Stock 3,743 $21.4184 D - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 1/19/04 1/19/10 Common Stock 3,743 $21.4184 D - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 1/19/05 1/19/10 Common Stock 3,744 $21.4184 D - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 12/16/93 12/15/02 Common Stock 602 $15.5501 I Spouse - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 12/16/94 12/15/02 Common Stock 604 $15,5501 I Spouse - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 12/16/95 12/15/02 Common Stock 604 $15.5501 I Spouse - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 12/16/96 12/15/02 Common Stock 608 $15.5501 I Spouse - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 12/15/94 12/14/03 Common Stock 841 $16.7619 I Spouse - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 12/15/95 12/14/03 Common Stock 842 $16.7619 I Spouse - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 12/15/96 12/14/03 Common Stock 842 $16.7619 I Spouse ====================================================================================================================================
Page 4 of 8 FORM 3 (continued) Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
5. Owner- 3. Title and Amount of Securities ship Underlying Derivative Security Form of 2. Date Exercisable (Instr. 4) Derivative and Expiration Date --------------------------------- 4. Conver- Security: (Month/Day/Year) Amount sion or Direct 6. Nature of ---------------------- or Exercise (D) or Indirect Date Expira- Number Price of Indirect Beneficial 1. Title of Derivative Exer- tion of Derivative (I) Ownership Security (Instr. 4) cisable Date Title Shares Security (Instr. 5) (Instr. 5) - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 12/15/97 12/14/03 Common Stock 842 $16.7619 I Spouse - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 12/21/95 12/20/04 Common Stock 970 $14.5404 I Spouse - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 12/21/96 12/20/04 Common Stock 970 $14.5404 I Spouse - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 12/21/97 12/20/04 Common Stock 970 $14.5404 I Spouse - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 12/21/98 12/20/04 Common Stock 971 $14.5404 I Spouse - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 12/20/96 12/19/05 Common Stock 822 $17.1658 I Spouse - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 12/20/97 12/19/05 Common Stock 822 $17.1658 I Spouse - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 12/20/98 12/19/05 Common Stock 822 $17.1658 I Spouse - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 12/20/99 12/19/05 Common Stock 823 $17.1658 I Spouse - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 11/15/97 11/15/06 Common Stock 1,164 $16.1649 I Spouse - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 11/15/98 11/15/06 Common Stock 1,164 $16.1649 I Spouse ====================================================================================================================================
Page 5 of 8 FORM 3 (continued) Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
5. Owner- 3. Title and Amount of Securities ship Underlying Derivative Security Form of 2. Date Exercisable (Instr. 4) Derivative and Expiration Date --------------------------------- 4. Conver- Security: (Month/Day/Year) Amount sion or Direct 6. Nature of ---------------------- or Exercise (D) or Indirect Date Expira- Number Price of Indirect Beneficial 1. Title of Derivative Exer- tion of Derivative (I) Ownership Security (Instr. 4) cisable Date Title Shares Security (Instr. 5) (Instr. 5) - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 11/15/99 11/15/06 Common Stock 1,165 $16,1649 I Spouse - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 11/15/00 11/15/06 Common Stock 1,165 $16.1649 I Spouse - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 12/22/98 12/22/07 Common Stock 1,298 $21.4718 I Spouse - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 12/22/99 12/22/07 Common Stock 1,298 $21.4718 I Spouse - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 12/22/00 12/22/07 Common Stock 1,299 $21.4718 I Spouse - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 12/22/01 12/22/07 Common Stock 1,299 $21.4718 I Spouse - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 7/1/03 7/1/08 Common Stock 5,610 $25.7728 I Spouse - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 12/21/02 12/21/09 Common Stock 2,096 $21.9833 I Spouse - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 12/21/03 12/21/09 Common Stock 2,097 $21.9833 I Spouse - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 12/21/04 12/21/09 Common Stock 2,097 $21.9833 I Spouse - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 1/19/03 1/19/10 Common Stock 1,166 $21.4184 I Spouse ====================================================================================================================================
Page 6 of 8 FORM 3 (continued) Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
5. Owner- 3. Title and Amount of Securities ship Underlying Derivative Security Form of 2. Date Exercisable (Instr. 4) Derivative and Expiration Date --------------------------------- 4. Conver- Security: (Month/Day/Year) Amount sion or Direct 6. Nature of ---------------------- or Exercise (D) or Indirect Date Expira- Number Price of Indirect Beneficial 1. Title of Derivative Exer- tion of Derivative (I) Ownership Security (Instr. 4) cisable Date Title Shares Security (Instr. 5) (Instr. 5) - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 1/19/04 1/19/10 Common Stock 1,167 $21.4184 I Spouse - - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option (right to buy) 1/19/05 1/19/10 Common Stock 1,167 $21.4184 I Spouse - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ - - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Page 7 of 8 FORM 3 (continued) Explanation of Responses: ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, See Instruction 6 for procedure. /s/ Jeanne Dering October 10, 2000 ------------------------------- ---------------- **Signature of Reporting Person Date SEC 1473 (7-97) Page 8 of 8 -----END PRIVACY-ENHANCED MESSAGE-----