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OMB APPROVAL
OMB Number: 3235-0104
Expires: September 30, 1998
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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
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X Officer (give title below) Other (specify below)
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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
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Form filed by More than One Reporting Person
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Page 1 of 8
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FORM 3 (continued)
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Table I -- Non-Derivative Securities Beneficially Owned
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<TABLE>
<CAPTION>
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)
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<S> <C> <C> <C>
Common Stock 6808 D
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Common Stock 800 I 401(K) Plan
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Common Stock 2504 I Spouse
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Common Stock 1401 I Spouse 401(K) Plan
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</TABLE>
Reminder: Report on a separate line each class of securities beneficially
owned directly or indirectly.
(Print or Type Responses)
Page 2 of 8
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FORM 3 (continued)
Table II -- Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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<TABLE>
<CAPTION>
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)
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<S> <C> <C> <C> <C> <C> <C> <C>
Non-Qualified Stock
Option (right to buy) 7/16/98 7/15/07 Common Stock 2,111 $19.6954 D
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Non-Qualified Stock
Option (right to buy) 7/16/99 7/15/07 Common Stock 2,111 $19.6954 D
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Non-Qualified Stock
Option (right to buy) 7/16/00 7/15/07 Common Stock 2,111 $19.6954 D
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Non-Qualified Stock
Option (right to buy) 7/16/01 7/15/07 Common Stock 2,112 $19.6954 D
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Non-Qualified Stock
Option (right to buy) 12/22/98 12/22/07 Common Stock 1,749 $21.4718 D
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Non-Qualified Stock
Option (right to buy) 12/22/99 12/22/07 Common Stock 1,749 $21.4718 D
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Non-Qualified Stock
Option (right to buy) 12/22/00 12/22/07 Common Stock 1,749 $21.4718 D
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Non-Qualified Stock
Option (right to buy) 12/22/01 12/22/07 Common Stock 1,749 $21.4718 D
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Non-Qualified Stock
Option (right to buy) 7/1/03 7/1/08 Common Stock 8,210 $25.7728 D
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Non-Qualified Stock
Option (right to buy) 12/21/02 12/21/09 Common Stock 3,380 $21.9833 D
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Non-Qualified Stock
Option (right to buy) 12/21/03 12/21/09 Common Stock 3,380 $21.9833 D
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</TABLE>
Page 3 of 8
<PAGE>
FORM 3 (continued)
Table II -- Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
================================================================================
<TABLE>
<CAPTION>
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)
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<S> <C> <C> <C> <C> <C> <C> <C>
Non-Qualified Stock
Option (right to buy) 12/21/04 12/21/09 Common Stock 3,380 $21.9833 D
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Non-Qualified Stock
Option (right to buy) 1/19/03 1/19/10 Common Stock 3,743 $21.4184 D
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Non-Qualified Stock
Option (right to buy) 1/19/04 1/19/10 Common Stock 3,743 $21.4184 D
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Non-Qualified Stock
Option (right to buy) 1/19/05 1/19/10 Common Stock 3,744 $21.4184 D
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Non-Qualified Stock
Option (right to buy) 12/16/93 12/15/02 Common Stock 602 $15.5501 I Spouse
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Non-Qualified Stock
Option (right to buy) 12/16/94 12/15/02 Common Stock 604 $15,5501 I Spouse
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Non-Qualified Stock
Option (right to buy) 12/16/95 12/15/02 Common Stock 604 $15.5501 I Spouse
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Non-Qualified Stock
Option (right to buy) 12/16/96 12/15/02 Common Stock 608 $15.5501 I Spouse
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Non-Qualified Stock
Option (right to buy) 12/15/94 12/14/03 Common Stock 841 $16.7619 I Spouse
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Non-Qualified Stock
Option (right to buy) 12/15/95 12/14/03 Common Stock 842 $16.7619 I Spouse
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Non-Qualified Stock
Option (right to buy) 12/15/96 12/14/03 Common Stock 842 $16.7619 I Spouse
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</TABLE>
Page 4 of 8
<PAGE>
FORM 3 (continued)
Table II -- Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
================================================================================
<TABLE>
<CAPTION>
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)
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<S> <C> <C> <C> <C> <C> <C> <C>
Non-Qualified Stock
Option (right to buy) 12/15/97 12/14/03 Common Stock 842 $16.7619 I Spouse
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Non-Qualified Stock
Option (right to buy) 12/21/95 12/20/04 Common Stock 970 $14.5404 I Spouse
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Non-Qualified Stock
Option (right to buy) 12/21/96 12/20/04 Common Stock 970 $14.5404 I Spouse
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Non-Qualified Stock
Option (right to buy) 12/21/97 12/20/04 Common Stock 970 $14.5404 I Spouse
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Non-Qualified Stock
Option (right to buy) 12/21/98 12/20/04 Common Stock 971 $14.5404 I Spouse
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Non-Qualified Stock
Option (right to buy) 12/20/96 12/19/05 Common Stock 822 $17.1658 I Spouse
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Non-Qualified Stock
Option (right to buy) 12/20/97 12/19/05 Common Stock 822 $17.1658 I Spouse
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Non-Qualified Stock
Option (right to buy) 12/20/98 12/19/05 Common Stock 822 $17.1658 I Spouse
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Non-Qualified Stock
Option (right to buy) 12/20/99 12/19/05 Common Stock 823 $17.1658 I Spouse
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Non-Qualified Stock
Option (right to buy) 11/15/97 11/15/06 Common Stock 1,164 $16.1649 I Spouse
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Non-Qualified Stock
Option (right to buy) 11/15/98 11/15/06 Common Stock 1,164 $16.1649 I Spouse
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</TABLE>
Page 5 of 8
<PAGE>
FORM 3 (continued)
Table II -- Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
================================================================================
<TABLE>
<CAPTION>
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)
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<S> <C> <C> <C> <C> <C> <C> <C>
Non-Qualified Stock
Option (right to buy) 11/15/99 11/15/06 Common Stock 1,165 $16,1649 I Spouse
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Non-Qualified Stock
Option (right to buy) 11/15/00 11/15/06 Common Stock 1,165 $16.1649 I Spouse
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Non-Qualified Stock
Option (right to buy) 12/22/98 12/22/07 Common Stock 1,298 $21.4718 I Spouse
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Non-Qualified Stock
Option (right to buy) 12/22/99 12/22/07 Common Stock 1,298 $21.4718 I Spouse
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Non-Qualified Stock
Option (right to buy) 12/22/00 12/22/07 Common Stock 1,299 $21.4718 I Spouse
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Non-Qualified Stock
Option (right to buy) 12/22/01 12/22/07 Common Stock 1,299 $21.4718 I Spouse
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Non-Qualified Stock
Option (right to buy) 7/1/03 7/1/08 Common Stock 5,610 $25.7728 I Spouse
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Non-Qualified Stock
Option (right to buy) 12/21/02 12/21/09 Common Stock 2,096 $21.9833 I Spouse
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Non-Qualified Stock
Option (right to buy) 12/21/03 12/21/09 Common Stock 2,097 $21.9833 I Spouse
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Non-Qualified Stock
Option (right to buy) 12/21/04 12/21/09 Common Stock 2,097 $21.9833 I Spouse
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Non-Qualified Stock
Option (right to buy) 1/19/03 1/19/10 Common Stock 1,166 $21.4184 I Spouse
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</TABLE>
Page 6 of 8
<PAGE>
FORM 3 (continued)
Table II -- Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
================================================================================
<TABLE>
<CAPTION>
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)
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<S> <C> <C> <C> <C> <C> <C> <C>
Non-Qualified Stock
Option (right to buy) 1/19/04 1/19/10 Common Stock 1,167 $21.4184 I Spouse
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Non-Qualified Stock
Option (right to buy) 1/19/05 1/19/10 Common Stock 1,167 $21.4184 I Spouse
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</TABLE>
Page 7 of 8
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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
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**Signature of Reporting Person Date
SEC 1473 (7-97)
Page 8 of 8
