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Moody's (MCO) CEO Robert Fauber logs 10b5-1 option exercises and share sales

Filing Impact
(Very High)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Moody's Corporation President and CEO Robert Fauber reported routine transactions in company stock. On February 2, 2026, he exercised 592 employee stock options at $113.34 per share and sold 592 common shares at $516.15 per share, leaving 61,081.984 common shares directly owned. On February 3, 2026, he exercised another 575 options at $167.5 per share and sold 575 shares at $498.9 per share, with direct ownership again reported as 61,081.984 shares afterward. Following these transactions, he held 3,603 and 4,022 remaining employee stock options from grants originally vesting annually beginning in 2018 and 2019. All exercises and sales were carried out under a Rule 10b5-1 trading plan adopted on July 30, 2025, indicating the trades were pre‑planned rather than discretionary.

Positive

  • None.

Negative

  • None.
Insider Fauber Robert
Role President and CEO
Sold 1,167 shs ($592K)
Type Security Shares Price Value
Exercise Employee Stock Option (right to buy) 575 $0.00 --
Exercise Common Stock 575 $167.50 $96K
Sale Common Stock 575 $498.90 $287K
Exercise Employee Stock Option (right to buy) 592 $0.00 --
Exercise Common Stock 592 $113.34 $67K
Sale Common Stock 592 $516.15 $306K
Holdings After Transaction: Employee Stock Option (right to buy) — 4,022 shares (Direct); Common Stock — 61,656.984 shares (Direct)
Footnotes (1)
  1. Exercise and sale of shares pursuant to a Rule 10b5-1 plan adopted by Mr. Fauber on July 30, 2025. One fourth of options vest each year beginning with the date indicated.
Form 4 Insider Transactions: What Each Field Means →
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 NY 10007
(City) (State) (Zip)
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
3. Date of Earliest Transaction (Month/Day/Year)
02/02/2026
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
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 02/02/2026 M(1) 592 A $113.34 61,673.984 D
Common Stock 02/02/2026 S(1) 592 D $516.15 61,081.984 D
Common Stock 02/03/2026 M(1) 575 A $167.5 61,656.984 D
Common Stock 02/03/2026 S(1) 575 D $498.9 61,081.984 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 02/02/2026 M(1) 592 02/23/2018(2) 02/23/2027 Common Stock 592 $0 3,603 D
Employee Stock Option (right to buy) $167.5 02/03/2026 M(1) 575 02/16/2019(2) 02/16/2028 Common Stock 575 $0 4,022 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 02/04/2026
** 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.

Source: View Original Filing on SEC EDGAR

FAQ

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

Robert Fauber reported option exercises and share sales in Moody's stock. He exercised 592 and 575 employee stock options on February 2–3, 2026 and sold the same number of common shares on each day, while maintaining direct ownership of 61,081.984 shares.

Were Robert Fauber’s Moody's (MCO) stock sales part of a 10b5-1 plan?

Yes, the reported transactions were made under a Rule 10b5‑1 plan. The filing states that the exercises and sales were executed pursuant to a trading plan Mr. Fauber adopted on July 30, 2025, indicating the trades were pre‑scheduled in advance.

How many Moody's (MCO) shares does CEO Robert Fauber own after these trades?

After the reported transactions, Robert Fauber directly owns 61,081.984 Moody's common shares. This balance is shown as of both February 2 and February 3, 2026, following the respective option exercises and matching share sales reported in the Form 4.

What stock option grants did Robert Fauber exercise in this Moody's (MCO) Form 4?

Fauber exercised two tranches of employee stock options. On February 2, 2026 he exercised 592 options at $113.34, and on February 3, 2026 he exercised 575 options at $167.5, each for Moody's common stock under long‑term equity awards.

What option holdings does Moody's (MCO) CEO retain after these transactions?

After these transactions, Fauber retains two blocks of employee stock options. The filing shows 3,603 remaining options from a 2018‑vesting grant and 4,022 remaining options from a 2019‑vesting grant, both exercisable into Moody’s common stock.

At what prices did Robert Fauber sell Moody's (MCO) shares in this filing?

Fauber’s reported sale prices were $516.15 and $498.9 per share. He sold 592 shares at $516.15 on February 2, 2026, and 575 shares at $498.9 on February 3, 2026, immediately after exercising corresponding employee stock options.