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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549

FORM 8-K

CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest event reported): April 20, 2021

MOODY’S CORPORATION
(Exact Name of Registrant as Specified in Charter)

 
					
Delaware	 	1-14037	 	13-3998945	
(State or Other Jurisdiction
of Incorporation)	 	(Commission
File Number)	 	(IRS Employer
Identification No.)	
7 World Trade Center at 250 Greenwich Street
New York, New York 10007
(Address of Principal Executive Offices) (Zip Code)
Registrant’s telephone number, including area code: (212) 553-0300

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
 
☐	Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)	
 
☐	Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)	
 
☐	Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))	
 
☐	Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))	
Securities registered pursuant to Section 12(b) of the Act:

Title of each class	 	Trading
Symbol(s)	 	Name of each exchange
on which registered	
Common Stock, par value $0.01 per share	 	MCO	 	New York Stock Exchange	
1.75% Senior Notes Due 2027	 	MCO 27	 	New York Stock Exchange	
0.950% Senior Notes Due 2030	 	MCO 30	 	New York Stock Exchange	
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ☐    
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

 

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ITEM 5.07	  	SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS	  	 	3	 	
			
SIGNATURES	  		  	 	4	 	

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Item 5.07, “Submission of Matters to a Vote of Security Holders”
The voting results for the matters voted on at the 2021 Annual Meeting of Stockholders of Moody’s Corporation (the “Company”) held on April 20, 2021 are as follows:
 
1.	Nine directors were elected to serve one-year terms expiring at the Company’s 2022 Annual Meeting of Stockholders as follows:	

	Nominee	  	Votes For	 	  	Votes Against	 	  	Abstentions	 	  	Broker
Non-Votes	 	
Jorge A. Bermudez	  	 	160,274,267	 	  	 	700,401	 	  	 	91,907	 	  	 	8,352,784	 		
Thérèse Esperdy	  	 	152,393,363	 	  	 	8,584,493	 	  	 	88,719	 	  	 	8,352,784	 		
Robert Fauber	  	 	160,640,346	 	  	 	336,021	 	  	 	90,208	 	  	 	8,352,784	 		
Vincent A. Forlenza	  	 	149,284,879	 	  	 	11,394,424	 	  	 	387,272	 	  	 	8,352,784	 		
Kathryn M. Hill	  	 	154,757,799	 	  	 	6,218,140	 	  	 	90,636	 	  	 	8,352,784	 		
Lloyd W. Howell, Jr.	  	 	160,633,912	 	  	 	343,187	 	  	 	89,476	 	  	 	8,352,784	 		
Raymond W. McDaniel, Jr.	  	 	154,982,305	 	  	 	5,988,265	 	  	 	96,005	 	  	 	8,352,784	 		
Leslie F. Seidman	  	 	159,685,989	 	  	 	792,463	 	  	 	588,123	 	  	 	8,352,784	 		
Bruce Van Saun	  	 	158,822,541	 	  	 	2,151,871	 	  	 	92,163	 	  	 	8,352,784	 		
 
2.	The appointment of KPMG LLP as the independent registered public accounting firm of the Company for the year 2021 was ratified as follows:	

Votes For	 	Votes Against	 	 	Abstentions	 	 	Broker
Non-Votes	
166,528,324	 	 	2,269,915	 	 	 	621,120	 	 	n/a	
 
3.	The advisory resolution approving executive compensation was approved as follows:	

Votes For	 	Votes Against	 	 	Abstentions	 	 	Broker
Non-Votes	 	
148,389,983	 	 	12,183,463	 	 	 	493,129	 	 	 	8,352,784	 	
 
4.	The advisory “Say-on-Climate Plan” resolution approving the Company’s 2020 Decarbonization Plan was approved as follows:	

Votes For	 	Votes Against	 	 	Abstentions	 	 	Broker
Non-Votes	
158,071,836	 	 	1,898,512	 	 	 	9,449,011	 	 	n/a	

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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

MOODY’S CORPORATION	
		
By:	 	/s/ Elizabeth M. McCarroll	
	 	Elizabeth M. McCarroll	
	 	Corporate Secretary and Associate General Counsel	
Date: April 26, 2021