Filing Details
- Accession Number:
- 0001179110-17-003128
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-02-24 16:44:10
- Reporting Period:
- 2017-02-22
- Filing Date:
- 2017-02-24
- Accepted Time:
- 2017-02-24 16:44:10
- 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 |
|---|---|---|---|---|---|---|---|
| 1604686 | Kenneth Moelis | C/O Moelis &Amp; Company 399 Park Ave, 5Th Floor New York NY 10022 | Chairman And Ceo | Yes | Yes | Yes | 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 | Acquisiton | 2017-02-22 | 35,982 | $0.00 | 141,135 | No | 4 | A | Direct | |
| Class A Common Stock | Disposition | 2017-02-22 | 0 | $6.95 | 141,135 | No | 4 | D | Direct | |
| Class A Common Stock | Disposition | 2017-02-22 | 35,982 | $36.99 | 105,153 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | D | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | 2015 Incentive RSUs | Disposition | 2017-02-22 | 35,982 | $0.00 | 35,982 | $0.00 |
| Class A Common Stock | 2016 Incentive RSUs | Acquisiton | 2017-02-23 | 91,125 | $0.00 | 91,125 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 143,932 | No | 4 | M | Direct | ||
| 91,125 | No | 4 | A | Direct |
Footnotes
- Shares of Class A Common Stock were acquired upon settlement of Restricted Stock Units (RSUs).
- Pursuant to the terms of the RSUs, fractional shares were settled in cash.
- Based on the price per share of Class A common stock of $36.99.
- The RSUs were settled for Class A common stock on February 22, 2017.
- Each 2016 Incentive RSU represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount in cash equal to the fair market value of such share. Grant of Restricted Stock Units pursuant to the Moelis & Company 2014 Omnibus Incentive Plan.
- The 2016 Incentive Restricted Stock Units vest in equal installments on February 23, 2018, February 23, 2019, February 23, 2020, February 23, 2021, and February 23, 2022.
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