Filing Details
- Accession Number:
- 0001179110-14-017412
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-12-02 17:30:36
- Reporting Period:
- 2014-12-01
- Filing Date:
- 2014-12-02
- Accepted Time:
- 2014-12-02 17:30:36
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1596967 | Moelis & Co | MC | Investment Advice (6282) | 464500216 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1604691 | Jeffrey Raich | C/O Moelis &Amp; Company 399 Park Avenue, 5Th Floor New York NY 10022 | Managing Director | Yes | Yes | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Class A Common Stock, Par Value $0.01 | Acquisiton | 2014-12-01 | 42,296 | $0.00 | 42,296 | No | 4 | M | Indirect | By trust |
Class A Common Stock, Par Value $0.01 | Acquisiton | 2014-12-01 | 6,301 | $0.00 | 6,301 | No | 4 | M | Indirect | By trust |
Class A Common Stock, Par Value $0.01 | Acquisiton | 2014-12-01 | 27 | $0.00 | 27 | No | 4 | M | Direct | |
Class A Common Stock, Par Value $0.01 | Disposition | 2014-12-01 | 42,296 | $31.75 | 0 | No | 4 | S | Indirect | By trust |
Class A Common Stock, Par Value $0.01 | Disposition | 2014-12-01 | 6,301 | $31.75 | 0 | No | 4 | S | Indirect | By trust |
Class A Common Stock, Par Value $0.01 | Disposition | 2014-12-01 | 27 | $31.75 | 0 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Indirect | By trust |
No | 4 | M | Indirect | By trust |
No | 4 | M | Direct | |
No | 4 | S | Indirect | By trust |
No | 4 | S | Indirect | By trust |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Class A Common Stock, Par Value $0.01 | Partnership Interests | Disposition | 2014-12-01 | 42,296 | $0.00 | 42,296 | $0.00 |
Class A Common Stock, Par Value $0.01 | Partnership Intersts | Disposition | 2014-12-01 | 6,301 | $0.00 | 6,301 | $0.00 |
Class A Common Stock, Par Value $0.01 | Partnership Interests | Disposition | 2014-12-01 | 27 | $0.00 | 27 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
1,655,960 | No | 4 | M | Indirect | ||
246,695 | No | 4 | M | Indirect | ||
1,090 | No | 4 | M | Direct |
Footnotes
- Represents transaction by Raich Trust, of which Mr. Raich is a beneficiary. Mr. Raich shares voting and dispositive power over the assets of the trust.
- Pursuant to the underwriting agreement for the November 24, 2014 public offering of Moelis & Company Class A common stock, the underwriters exercised their option to purchase additional shares of common stock from the holder as part of the offering. In connection with the closing of such exercise on December 1, 2014, certain of the holder's partnership interests ("Partnership Interests") in Moelis & Company Partner Holdings LP ("Partner Holdings") were exchanged for an equal number of Class A partnership units ("Group Units") in Moelis & Company Group LP ("Group LP") and the Group Units were exchanged for an equal number of shares of Moelis & Company Class A common stock. The exchanges were approved by the Company's board of directors under Rule 16b-3.
- Represents transaction by Raich 2010 Annuity Trust, of which Mr. Raich is a beneficiary.
- From this price, the holder paid an underwriting discount of $1.349375 per share to the underwriters in connection with the offering.
- Partnership Interests are exchangeable for an equal number of Group Units. Each Group Unit is exchangeable for a share of Moelis & Company Class A common stock (subject to customary adjustments) or cash, at Group LP's option.
- Pursuant to Group LP's agreement of limited partnership, Group Units held by the reporting person are not exchangeable for Moelis & Company Class A common stock until the expiration or waiver of certain lockup periods, commencing on the fourth anniversary of the closing of the initial public offering of Moelis & Company Class A common stock. The form of Group LP's agreement of limited partnership has been filed as an exhibit to Moelis & Company's registration statement on Form S-1 (File No. 333194306) dated April 8, 2014.