-----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, SIPFtnhT1CFFuiQdTlh1gYJOtMFKnRXdFLKJEPlEl8FC3MnTw2yo1dpQRBDBCDn5 ODxx7IJAgkoqo3agz54/Lg== 0000950123-04-012945.txt : 20041103 0000950123-04-012945.hdr.sgml : 20041103 20041103172122 ACCESSION NUMBER: 0000950123-04-012945 CONFORMED SUBMISSION TYPE: 144 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20041103 DATE AS OF CHANGE: 20041103 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: RUTHERFURD JOHN JR CENTRAL INDEX KEY: 0001195308 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-CONSUMER CREDIT REPORTING, COLLECTION AGENCIES [7320] RELATIONSHIP: DIRECTOR STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 144 BUSINESS ADDRESS: STREET 1: 99 CHURCH AVE CITY: NEW YORK STATE: NY ZIP: 10007 BUSINESS PHONE: 2125530300 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MOODYS CORP /DE/ CENTRAL INDEX KEY: 0001059556 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-CONSUMER CREDIT REPORTING, COLLECTION AGENCIES [7320] IRS NUMBER: 133998945 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 144 SEC ACT: 1933 Act SEC FILE NUMBER: 001-14037 FILM NUMBER: 041117150 BUSINESS ADDRESS: STREET 1: 99 CHURCH STREET CITY: NEW YORK STATE: NY ZIP: 10007 BUSINESS PHONE: 2125530300 MAIL ADDRESS: STREET 1: 99 CHURCH STREET 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 144 1 y68342ffe144.txt FORM 144 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 ATTENTION: TRANSMIT FOR FILING 3 COPIES OF THIS FORM CONCURRENTLY WITH EITHER PLACING AN ORDER WITH A BROKER TO EXECUTE SALE OR EXECUTING A SALE DIRECTLY WITH A MARKET MAKER.
1 (a) NAME OF ISSUER (PLEASE TYPE OR PRINT) (b) IRS IDENT. NO. (c) S.E.C. FILE NO. Moody's Corporation 133998945 001-14037
1 (d) ADDRESS OF ISSUER STREET CITY STATE ZIP CODE (e) TELEPHONE NO. 99 Church Street New York NY 10007 212-533-0300 AREA CODE NUMBER 2 (a) NAME OF PERSON FOR WHOSE ACCOUNT THE (b) IRS (c) RELATIONSHIP (d) ADDRESS STREET CITY STATE ZIP CODE SECURITIES ARE TO BE SOLD IDENT. NO. TO ISSUER John Rutherfurd, Jr. Officer and 99 Church Street, New York, NY 10007 Director
INSTRUCTION: THE PERSON FILING THIS NOTICE SHOULD CONTACT THE ISSUER TO OBTAIN THE I.R.S. IDENTIFICATION NUMBER AND THE S.E.C. FILE NUMBER.
3 (a) (b) (c) (d) (e) (f) (g) NAME AND ADDRESS OF EACH BROKER THROUGH WHOM THE NUMBER OF NUMBER OF NAME OF SECURITIES ARE TO SEC USE ONLY SHARES OR SHARES OR APPROXIMATE EACH TITLE OF THE BE OFFERED OR OTHER UNITS AGGREGATE OTHER UNITS DATE OF SALE SECURITIES CLASS OF EACH MARKET MAKER BROKER-DEALER TO BE SOLD MARKET VALUE OUTSTANDING (SEE INSTR. EXCHANGE SECURITIES WHO IS ACQUIRING FILE NUMBER (SEE INSTR. (SEE INSTR. (SEE INSTR. 3(f)) (SEE INSTR. TO BE SOLD THE SECURITIES 3(c)) 3(d) 3(e)) (MO. DAY YR.) 3(g)) ---------- -------------- -------- -------- --------- -------- -------- ---- Common Vanguard Brokerage 8,000 $634,800 147,768,215 11/3/04 NYSE Services, P.O. Box 1170 Valley Forge, PA 19482
INSTRUCTIONS: 1.(a) Name of issuer (b) Issuer's I.R.S. Identification Number (c) Issuer's S.E.C. file number, if any (d) Issuer's address, including zip code (e) Issuer's telephone number, including area code 2.(a) Name of person for whose account the securities are to be sold (b) Such person's I.R.S. identification number, if such person is an entity (c) Such person's relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing) (d) Such person's address, including zip code 3.(a) Title of the class of securities to be sold (b) Name and address of each broker through whom the securities are intended to be sold (c) Number of shares or other units to be sold (if debt securities, give the aggregate face amount) (d) Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice (e) Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer (f) Approximate date on which the securities are to be sold (g) Name of each securities exchange, if any, on which the securities are intended to be sold TABLE I - SECURITIES TO BE SOLD FURNISH THE FOLLOWING INFORMATION WITH RESPECT TO THE ACQUISITION OF THE SECURITIES TO BE SOLD AND WITH RESPECT TO THE PAYMENT OF ALL OR ANY PART OF THE PURCHASE PRICE OR OTHER CONSIDERATION THEREFOR:
NAME OF PERSON FROM WHOM ACQUIRED AMOUNT OF TITLE OF DATE YOU NATURE OF ACQUISITION (IF GIFT, ALSO GIVE DATE DONOR SECURITIES DATE OF NATURE OF THE CLASS ACQUIRED TRANSACTION ACQUIRED) ACQUIRED PAYMENT PAYMENT - --------- -------- ----------- --------- -------- ------- ------- Common 12/14/00 Employee Stock Moody's Corporation 8,000 12/14/00 Cash Option Exercise
INSTRUCTIONS: 1. IF THE SECURITIES WERE PURCHASED AND FULL PAYMENT THEREFOR WAS NOT MADE IN CASH AT THE TIME OF PURCHASE, EXPLAIN IN THE TABLE OR IN A NOTE THERETO THE NATURE OF THE CONSIDERATION GIVEN. IF THE CONSIDERATION CONSISTED OF ANY NOTE OR OTHER OBLIGATION, OR IF PAYMENT WAS MADE IN INSTALLMENTS DESCRIBE THE ARRANGEMENT AND STATE WHEN THE NOTE OR OTHER OBLIGATION WAS DISCHARGED IN FULL OR THE LAST INSTALLMENT PAID. 2. IF WITHIN TWO YEARS AFTER THE ACQUISITION OF THE SECURITIES THE PERSON FOR WHOSE ACCOUNT THEY ARE TO BE SOLD HAD ANY SHORT POSITIONS, PUT OR OTHER OPTION TO DISPOSE OF SECURITIES REFERRED TO IN PARAGRAPH (d)(3) OF RULE 144, FURNISH FULL INFORMATION WITH RESPECT THERETO. TABLE II - SECURITIES SOLD DURING THE PAST 3 MONTHS FURNISH THE FOLLOWING INFORMATION AS TO ALL SECURITIES OF THE ISSUER SOLD DURING THE PAST 3 MONTHS BY THE PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD.
AMOUNT OF SECURITIES NAME AND ADDRESS OF SELLER TITLES OF SECURITIES SOLD DATE OF SALE SOLD GROSS PROCEEDS -------------------------- ------------------------- ------------ ---- -------------- John Rutherfurd, Jr., Common 11/2/04 37,024 $2,219,342.20 99 Church Street, New York, NY 10007
REMARKS: INSTRUCTIONS: SEE THE DEFINITION OF "PERSON" IN PARAGRAPH (a) OF RULE 144. INFORMATION IS TO BE GIVEN NOT ONLY AS TO THE PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD BUT ALSO AS TO ALL OTHER PERSONS INCLUDED IN THAT DEFINITION. IN ADDITION, INFORMATION SHALL BE GIVEN AS TO SALES BY ALL PERSONS WHOSE SALES ARE REQUIRED BY PARAGRAPH (e) OF RULE 144 TO BE AGGREGATED WITH SALES FOR THE ACCOUNT OF THE PERSON FILING THIS NOTICE. ATTENTION: THE PERSON FOR WHOSE ACCOUNT THE SECURITIES TO WHICH THIS NOTICE RELATES ARE TO BE SOLD HEREBY REPRESENTS BY SIGNING THIS NOTICE THAT HE DOES NOT KNOW ANY MATERIAL ADVERSE INFORMATION IN REGARD TO THE CURRENT AND PROSPECTIVE OPERATIONS OF THE ISSUER OF THE SECURITIES TO BE SOLD WHICH HAS NOT BEEN PUBLICLY DISCLOSED. - ------------------------- ---------------------------------------- DATE OF NOTICE (SIGNATURE) THE NOTICE SHALL BE SIGNED BY THE PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD. AT LEAST ONE COPY OF THE NOTICE SHALL BE MANUALLY SIGNED. ANY COPIES NOT MANUALLY SIGNED SHALL BEAR TYPED OR PRINTED SIGNATURES. ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSION OF FACTS CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001) SEC 1147(7-97) NYA 275472.2 -----END PRIVACY-ENHANCED MESSAGE-----