Filing Details

Accession Number:
0001179110-18-006867
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-05-16 16:06:11
Reporting Period:
2018-05-14
Accepted Time:
2018-05-16 16:06:11
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
Md & Co-President 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 Acquisiton 2018-05-14 1,720 $19.45 1,720 No 4 M Direct
Class A Common Stock Disposition 2018-05-14 1,720 $56.76 0 No 4 S Direct
Class A Common Stock Acquisiton 2018-05-14 5,247 $19.45 5,247 No 4 M Direct
Class A Common Stock Disposition 2018-05-14 5,247 $56.46 0 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 M 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 Top Up Options (Right to Buy) Disposition 2018-05-14 6,967 $0.00 6,967 $19.45
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
13,934 No 4 M Direct
Footnotes
  1. Grant of stock options pursuant to the Moelis & Company 2014 Omnibus Plan.
  2. The Top Up Options were originally issued at $25.00. Moelis & Company (the "Company) paid special dividends of $5.55, in aggregate, through March 31 ,2018. As required under Section 5 of the Company's 2014 Omnibus Incentive Plan, the Compensation Committee of the Company's Board of Directors equitable reduced the exercise price of the Company's outstanding options to purchase common stock by $5.55 from $25.00 per share to $19.45 per share. Such options are held by current and former employees of the Company, including offers and directors.
  3. The Top Up Options vest 25% on April 22, 2017, 25% on April 22, 2018 and 50% on April 22, 2019. The Top Up Options expire on April 22, 2020.