Welcome to our dedicated page for Moody'S SEC filings (Ticker: MCO), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Moody’s Corporation (MCO) SEC filings page on Stock Titan provides access to the company’s regulatory disclosures as filed with the U.S. Securities and Exchange Commission. Moody’s is a New York Stock Exchange registrant, with its common stock and certain senior notes listed, and it reports under the Exchange Act through forms such as Form 8-K. These filings document material events, governance changes, compensation plans, and financial results that are relevant to shareholders and bondholders.
Recent Form 8-K filings illustrate the range of topics covered. Moody’s has reported board and management changes, including director resignations and the election of new directors, as well as updates to committee assignments. It has disclosed amendments to its Amended and Restated By-Laws, particularly around advance notice procedures for stockholder nominations and proposals, and changes to the Moody’s Corporation 2001 Key Employees’ Stock Incentive Plan, addressing definitions, vesting flexibility, and treatment upon death or disability.
Filings also include earnings announcements and outlook updates, where Moody’s furnishes press releases detailing results of operations and financial condition for specific quarters, and references to the availability of those materials on its investor relations website and on the SEC’s EDGAR system. Other 8-Ks note matters such as the resignation of senior officers within Moody’s Analytics.
On Stock Titan, these filings are supplemented by AI-powered summaries that explain the key points of each document in accessible language. Users can quickly see what a particular 8-K covers—such as governance changes, compensation plan amendments, or quarterly results—without reading the full text, while still having the option to review the original filing. This makes it easier to follow Moody’s regulatory history, understand how governance and compensation structures evolve, and monitor disclosures that may be relevant to the company’s credit ratings, analytics businesses, and capital structure.
Moody's Corporation director Jose Minaya reported receiving a grant of 93.388 Phantom Stock Units as deferred compensation for board retainer fees. These units are tied to Moody's common stock value at a reference price of $438.78 per share and convert on a one-for-one basis.
Following this grant, Minaya holds a total of 1,166.089 Phantom Stock Units. The units will be settled in cash after his retirement, so this filing reflects a compensation-related accrual rather than an open-market stock purchase or sale.
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.
Moody's Corporation senior vice president and General Counsel Richard G. Steele reported selling Common Stock in open-market transactions. He sold a total of 158 shares on April 1, 2026 at an average price of $437.77 per share, under a pre-arranged Rule 10b5-1 trading plan adopted on July 29, 2025.
After these sales, Steele directly holds 2,300.88 Common Stock shares. The filing also shows an additional 3,612.666 shares held indirectly through a trust, indicating both direct and indirect ownership positions remain after the reported trades.
Fidelity Brokerage Services LLC submitted a Form 144 notice listing the sale of 375 shares of Common Stock by Richard Steele. The filing ties the shares to a Restricted Stock Vesting event dated 03/01/2026 and shows the reported proceeds of $171,266.25 for a sale dated 03/03/2026.
MCO Form 144 filing reports proposed and recent sales of Common Stock by an affiliate (Robert Fauber). The excerpt lists multiple open-market dispositions: 592 shares on 01/02/2026 for $301,292.48, 575 shares on 01/05/2026 for $288,949.00, additional 592- and 575-share trades in February, and a sale of 5,213 shares on 03/03/2026 for $2,380,829.23. The filing also lists securities related to restricted stock vesting and option exercises (300; 592; 575 shares) on various dates.
Moody's Corp filed an Amendment No. 12 to a Schedule 13G/A showing that The Vanguard Group reports 0 shares and 0% beneficial ownership of Common Stock. The filing states Vanguard's internal realignment led certain subsidiaries to report separately in reliance on SEC Release No. 34-39538.
The form lists Vanguard's address and certifies no sole or shared voting or dispositive power over Moody's shares in this filing; the amendment is signed by the Head of Global Fund Administration on 03/27/2026.
Moody's Corporation director Bruce Van Saun increased his holdings through stock-based awards rather than market purchases. On March 13, 2026, he acquired 8 shares of common stock from restricted stock deferred dividend reinvestment and 18.687 shares from RSU dividend reinvestment and dividend equivalents tied to unvested RSUs. After these awards, he held 9,858.908 common shares directly. These are compensation-related accruals that will vest and settle in line with the underlying restricted stock and RSU awards.
Moody's Corporation director Leslie Seidman reported two stock-based accruals of common shares. On March 13, 2026, she acquired 17.0000 shares of common stock at a stated price of $0.0000 per share, characterized as a grant, award, or other acquisition.
On the same date, she acquired an additional 5.8380 common shares at a stated price of $0.0000 per share, also reported as a grant, award, or other acquisition. Footnotes describe these as a restricted stock deferred dividend reinvestment accrual and an RSU deferred dividend reinvestment accrual, indicating automatic accruals tied to existing awards rather than open-market purchases. Following these transactions, her direct holdings increased to 12,172.6890 common shares.
Moody’s director Jose Minaya reported routine equity-based compensation awards. On March 13, he received 3.491 Phantom Stock Units tied to deferred retainer fees, bringing his phantom unit balance to 1,093.002 units. These units track common stock one-for-one but will be settled in cash after his retirement.
On the same date, he also acquired 10.358 shares of common stock through dividend-equivalent accruals on previously granted restricted stock units, increasing his direct common stock holdings to 2,901.844 shares. Both transactions were coded as awards or other acquisitions, reflecting compensation and dividend reinvestment rather than open-market trading.
Moody’s director Vincent A. Forlenza reported routine equity-related compensation activity. He received 22.073 shares of Common Stock as RSU deferred dividend reinvestment and dividend equivalents that will vest and settle with the underlying awards. He also acquired 1.562 Phantom Stock Units from electing to defer retainer fees, which convert to common stock on a one-for-one basis but are to be settled in cash after his retirement. Following these grants, he directly holds 8,746.828 shares of Common Stock and 489.256 Phantom Stock Units.