[144] Moody's Corporation SEC Filing

Rhea-AI Filing Summary

Form 144 filed for Moody's Corporation (MCO) reports proposed and completed insider sales of common stock. The filing lists a proposed sale on 09/02/2025 of 415 shares through Fidelity Brokerage Services with an aggregate market value of $208,877.80 and 179,400,000 shares outstanding listed. The filer reports acquisition details showing 315 shares acquired by cash on 09/02/2025 from option exercises granted in 2016–2017 and 134 shares issued from restricted stock vesting on 03/01/2024 as compensation. The filing also discloses six prior sales by the same person between 06/02/2025 and 08/15/2025, each of 415 shares with gross proceeds reported for each sale.

Positive

• Disclosure compliance: The filing provides broker details, amounts, acquisition dates, and nature of acquisition, meeting Rule 144 reporting requirements
• Source of shares identified: Specifies restricted stock vesting and option exercises as origins of the securities being sold

Negative

• Limited context: Filing does not state the filer’s position/title or total insider holdings, restricting assessment of materiality
• No trading-plan date provided: The form does not indicate a Rule 10b5-1 plan adoption date or explicitly state whether sales are under a written plan

Insights

Securities Analyst

TL;DR: Insider has repeatedly sold small blocks of common stock; filings document acquisition type and recent transactions.

The Form 144 details a proposed sale of 415 shares and multiple prior sales of identical 415-share blocks over the previous three months. Acquisition records identify restricted stock vesting and option exercises as the sources of shares, with cash as the payment method for option-based acquisitions. The filing provides gross proceeds for prior sales but does not state the insider's role, total holdings, or motive. From a disclosure standpoint, the form fulfills Rule 144 requirements by listing broker, amounts, acquisition dates, and nature of acquisition.

Corporate Governance Expert

TL;DR: The notice documents compliance with Rule 144 for planned and recent sales; materiality to shareholders is not specified.

The document records multiple sales and a proposed sale by the same person and includes the required representations about material non-public information and trading-plan references. It specifies the broker, dates, and aggregate values for the transactions. The filing does not provide contextual details such as the filer’s title, total insider holdings, or whether sales were part of a Rule 10b5-1 plan, limiting assessment of governance implications beyond procedural compliance.

Form 144 Filer Information	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
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

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.

Relationship to Issuer

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Fidelity Brokerage Services LLC 900 Salem Street Smithfield RI 02917	415	208877.80	179400000	09/02/2025	NYSE

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:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	03/01/2024	Restricted Stock Vesting	Issuer			134	03/01/2024	Compensation
Common	09/02/2025	Option Granted - 02/12/2016	Issuer			56	09/02/2025	Cash
Common	09/02/2025	Option Granted - 02/23/2017	Issuer			91	09/02/2025	Cash
Common	09/02/2025	Option Granted - 07/01/2016	Issuer			134	09/02/2025	Cash

* 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.

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.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
Robert Fauber 7 World Trade Center at 250 Greenwich St New York NY 10007	Common	06/02/2025	415	196855.25
Robert Fauber 7 World Trade Center at 250 Greenwich St New York NY 10007	Common	06/16/2025	415	197818.05
Robert Fauber 7 World Trade Center at 250 Greenwich St New York NY 10007	Common	07/01/2025	415	206296.50
Robert Fauber 7 World Trade Center at 250 Greenwich St New York NY 10007	Common	07/15/2025	415	208911.00
Robert Fauber 7 World Trade Center at 250 Greenwich St New York NY 10007	Common	08/01/2025	415	211728.85
Robert Fauber 7 World Trade Center at 250 Greenwich St New York NY 10007	Common	08/15/2025	415	216401.75

144: Remarks and Signature

Remarks

Date of Notice

Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1

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. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does the Form 144 for Moody's (MCO) report?

The form reports a proposed sale of 415 shares on 09/02/2025 via Fidelity and lists six prior sales of 415 shares each between 06/02/2025 and 08/15/2025 with gross proceeds for each sale.

What types of acquisitions produced the shares being sold?

Shares came from restricted stock vesting on 03/01/2024 and option exercises (grants dated 2016–2017) with cash payment listed for option-based acquisitions.

How much is the aggregate market value of the proposed sale?

The proposed 415-share sale has an aggregate market value listed as $208,877.80.

Does the filing indicate the seller's role at Moody's?

No. The document names the seller but does not provide the seller’s corporate title or total holdings in the issuer.

Are prior sale proceeds disclosed?

Yes. The filing lists gross proceeds for each prior sale between June and August 2025, with amounts reported for each transaction.