Moody's CEO exercises options and sells 1,467 shares

Moody's Corporation President and CEO Robert Fauber reported a combination of option exercises and share sales in Moody's stock.

Rhea-AI Filing Summary

Moody's Corporation President and CEO Robert Fauber reported a combination of option exercises and share sales in Moody's stock. On April 1, 2026, he exercised employee stock options for 1,167 shares of Common Stock at exercise prices of $113.34 and $167.50 per share. On the same date, he sold 1,467 shares of Common Stock in open-market transactions at $437.77 per share. After these transactions, he directly held 75,488.918 shares of Moody's Common Stock. The exercise and sale activity was executed pursuant to a Rule 10b5-1 trading plan adopted by Mr. Fauber on July 30, 2025, indicating the trades were pre-arranged.

Insider Trade Summary 10b5-1

Exercise and sale activity reported; no spread calculated

Exercise and Sale 7 txns

Insider Fauber Robert

Role President and CEO

Sold 1,467 shs ($642K)

Approx. gross sale proceeds $642K

Approx. exercise cost $163K

Type	Security	Shares	Price	Value
Exercise	Employee Stock Option (right to buy)	592	$0.00	$0.00
Exercise	Employee Stock Option (right to buy)	575	$0.00	$0.00
Sale	Common Stock	300	$437.77	$131K
Exercise	Common Stock	592	$113.34	$67K
Sale	Common Stock	592	$437.77	$259K
Exercise	Common Stock	575	$167.50	$96K
Sale	Common Stock	575	$437.77	$252K

Holdings After Transaction: Employee Stock Option (right to buy) — 6,458 contracts (Direct); Common Stock — 75,488.918 shares (Direct)

Footnotes (2)

1. F1. Exercise and sale of shares pursuant to a Rule 10b5-1 plan adopted by Mr. Fauber on July 30, 2025.
2. F2. One fourth of options vest each year beginning with the date indicated.

Key Figures

Shares sold: 1,467 shares Sale price: $437.77 per share Options exercised: 1,167 shares +5 more

8 metrics

Shares sold 1,467 shares Common Stock sold on April 1, 2026

Sale price $437.77 per share Open-market Common Stock sales

Options exercised 1,167 shares Employee Stock Option exercises into Common Stock

Option strike prices $113.34 and $167.50 Employee Stock Option exercise prices

Post-transaction holdings 75,488.918 shares Directly owned Common Stock after April 1, 2026

Net buy/sell shares -1,467 shares Net share change across reported transactions

Exercise date of one option grant February 23, 2018 Employee Stock Option with $113.34 strike

Rule 10b5-1 plan adoption July 30, 2025 Plan governing the exercise and sale transactions

Key Terms

Employee Stock Option, Rule 10b5-1 plan, open-market sale, derivative security, +1 more

5 terms

Employee Stock Option financial

"Employee Stock Option (right to buy)"

An employee stock option is a promise that lets a worker buy company shares later at a predetermined price, often after they stay for a certain period or meet performance goals — think of it like a coupon that locks in today's price for a future purchase. It matters to investors because options align employees’ incentives with company performance, can increase the number of shares outstanding (dilution) when exercised, and represent a compensation cost that affects reported profits and shareholder value.

Rule 10b5-1 plan regulatory

"Exercise and sale of shares pursuant to a Rule 10b5-1 plan"

A Rule 10b5-1 plan is a prearranged, written schedule that lets corporate insiders buy or sell company stock at set times or amounts, even if they later learn material nonpublic information. Think of it like setting an automatic thermostat for trades: it creates a clear record that trades were planned in advance, reducing the risk of insider-trading accusations and helping investors trust that insider transactions are routine rather than based on secret information.

open-market sale financial

"Sale in open market or private transaction"

An open-market sale is when a shareholder sells existing shares directly on a public exchange to any willing buyer, rather than through a private deal. Think of it like putting goods on a busy market stall where price is set by supply and demand; for investors it matters because such sales increase available supply, can put short-term downward pressure on the stock price, and signal changes in liquidity or investor confidence.

derivative security financial

"Exercise or conversion of derivative security"

A derivative security is a financial contract whose value comes from the price or performance of something else, such as a stock, bond, commodity, or market index. For investors it acts like an insurance policy or a wager: it can be used to protect against losses, lock in prices, or amplify gains and losses, so it can change a portfolio’s risk and potential return without owning the underlying asset directly.

Common Stock financial

"underlying_security_title: Common Stock"

Common stock represents ownership shares in a company, giving investors a stake in its success and a say in important decisions through voting rights. It is the most common type of stock traded on markets and can provide income through dividends, as well as potential for value growth. For investors, holding common stock means sharing in the company’s profits and risks.

FAQ

What insider transactions did Moody's (MCO) CEO Robert Fauber report?

Robert Fauber reported option exercises and share sales. He exercised employee stock options for 1,167 Common Stock shares, then sold 1,467 shares in open-market trades, all on April 1, 2026, under a pre-arranged Rule 10b5-1 trading plan.

How many Moody's (MCO) shares did Robert Fauber sell and at what price?

Robert Fauber sold 1,467 shares of Moody's Common Stock. The open-market sales were executed at a price of $437.77 per share on April 1, 2026, as part of transactions disclosed in his Form 4 insider trading report.

What stock options did the Moody's (MCO) CEO exercise in this Form 4?

He exercised employee stock options covering 1,167 shares of Moody's Common Stock. These options had exercise prices of $113.34 and $167.50 per share, originally granted with vesting over four years starting from the dates indicated in the filing.

How many Moody's (MCO) shares does Robert Fauber hold after these transactions?

After the reported exercises and sales, Robert Fauber directly holds 75,488.918 shares of Moody's Common Stock. This post-transaction balance reflects his remaining direct ownership following the April 1, 2026 option exercises and open-market sales.

Were Robert Fauber’s Moody's (MCO) trades under a Rule 10b5-1 plan?

Yes. The filing states the exercise and sale of shares were made pursuant to a Rule 10b5-1 trading plan adopted by Robert Fauber on July 30, 2025, indicating the transactions were pre-scheduled rather than initiated spontaneously.

What does the Form 4 reveal about net share changes for Moody's (MCO) CEO?

The Form 4 shows a net sale of 1,467 shares, with 1,167 shares acquired through option exercises and 1,467 shares sold. Despite this net reduction, Robert Fauber still directly owns 75,488.918 Moody's Common Stock shares after the transactions.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 04/03/2026 - 04:01 PM Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

X

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Fauber Robert

(Last) (First) (Middle)

7 WORLD TRADE CENTER

250 GREENWICH STREET

(Street)

NEW YORK NEW YORK 10007

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
MOODYS CORP /DE/ [ MCO ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	President and CEO

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
04/01/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	04/01/2026		S		300	D	$437.77	75,488.918	D
Common Stock	04/01/2026		M(1)		592	A	$113.34	76,080.918	D
Common Stock	04/01/2026		S(1)		592	D	$437.77	75,488.918	D
Common Stock	04/01/2026		M(1)		575	A	$167.5	76,063.918	D
Common Stock	04/01/2026		S(1)		575	D	$437.77	75,488.918	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Employee Stock Option (right to buy)	$113.34	04/01/2026		M(1)			592	02/23/2018(2)	02/23/2027	Common Stock	592	$0	3,011	D
Employee Stock Option (right to buy)	$167.5	04/01/2026		M			575	02/16/2019(2)	02/16/2028	Common Stock	575	$0	3,447	D

Explanation of Responses:

1. Exercise and sale of shares pursuant to a Rule 10b5-1 plan adopted by Mr. Fauber on July 30, 2025.

2. One fourth of options vest each year beginning with the date indicated.

Remarks:

	Elizabeth McCarroll, by power of attorney for Robert Fauber	04/03/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** 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 is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)