Robert Fauber, President and CEO of Moody's Corporation, filed a Form 4 on November 10, 2026, disclosing the exercise of two employee stock option tranches and the sale of 1,743 shares of common stock on November 9, 2026, pursuant to a Rule 10b5-1 plan.

Key Highlights

  • Options exercised: Fauber exercised 662 options at a conversion price of $173.58 and 1,081 options at a conversion price of $215.07, both on November 9, 2026.
  • Shares sold: 1,743 shares of common stock were disposed of at $510.75 per share on November 9, 2026.
  • Direct ownership after transactions: Fauber directly held 51,363.918 shares of common stock following the reported transactions.
  • Indirect ownership: An additional 22,325 shares are held indirectly through a trust, according to the filing.
  • 10b5-1 plan: The filing states the exercise and sale were made pursuant to a Rule 10b5-1 plan adopted by Fauber on August 10, 2026.
  • Remaining options: Following the transactions, Fauber held 7,227 options with a $173.58 exercise price and 4,320 options with a $215.07 exercise price, both directly owned.

Fauber's Option Exercises and Share Sale at Moody's Corporation

According to the Form 4 filed with the SEC, Robert Fauber, who serves as President and CEO and also as a Director of Moody's Corporation (NYSE:MCO), reported two option exercise transactions and one share sale on November 9, 2026. The filing indicates that 662 employee stock options with an exercise price of $173.58 were exercised, adding 662 shares, and separately, 1,081 employee stock options with an exercise price of $215.07 were exercised, adding 1,081 shares. Both option grants are described as vesting at one-fourth per year beginning with their respective exercise-eligibility dates, with expiration dates of February 25, 2029, and November 5, 2029, respectively.

Following the two exercises, the filing reports that 1,743 shares were sold at $510.75 per share, identified under transaction code "S." The filing notes that all three transactions were carried out "pursuant to a Rule 10b5-1 plan adopted by Mr. Fauber on August 10, 2026." After these transactions, Fauber's direct beneficial ownership of common stock stood at 51,363.918 shares, with an additional 22,325 shares held indirectly through a trust, as disclosed in the filing.

The Form 4 was signed by Elizabeth McCarroll under a power of attorney for Robert Fauber and was filed on November 10, 2026. The filing is marked to indicate the transactions were made pursuant to a contract, instruction, or written plan satisfying the affirmative defense conditions of Rule 10b5-1(c).

What Was Disclosed

The filing disclosed two employee stock option exercises and a sale of 1,743 common shares by Moody's President and CEO Robert Fauber on November 9, 2026, under a pre-established Rule 10b5-1 plan, with resulting direct ownership of 51,363.918 shares.