Filing Details
- Accession Number:
- 0001209191-19-027597
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-05-03 20:29:11
- Reporting Period:
- 2019-05-01
- Accepted Time:
- 2019-05-03 20:29:11
- 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 |
|---|---|---|---|---|---|---|---|
| 1681752 | Christopher Callesano | C/O Moelis &Amp; Company 399 Park Avenue, 5Th Floor New York NY 10022 | Principal Accounting Officer | No | 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 | 2019-05-01 | 7,269 | $0.00 | 7,269 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2019-05-01 | 2,472 | $37.50 | 4,797 | No | 4 | F | Direct | |
| Class A Common Stock | Acquisiton | 2019-05-03 | 3,500 | $16.70 | 8,297 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2019-05-03 | 3,500 | $38.00 | 4,797 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | 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 | 2014 Incentive Restricted Stock Units | Disposition | 2019-05-01 | 4,405 | $0.00 | 4,405 | $0.00 |
| Class A Common Stock | 2014 Incentive RSUs Granted in 2015 | Disposition | 2019-05-01 | 589 | $0.00 | 589 | $0.00 |
| Class A Common Stock | 2015 Incentive RSUs | Disposition | 2019-05-01 | 1,034 | $0.00 | 1,034 | $0.00 |
| Class A Common Stock | 2016 Incentive RSUs | Disposition | 2019-05-01 | 735 | $0.00 | 735 | $0.00 |
| Class A Common Stock | 2017 Incentive RSUs | Disposition | 2019-05-01 | 507 | $0.00 | 507 | $0.00 |
| Class A Common Stock | IPO Options (Right to Buy) | Disposition | 2019-05-03 | 3,500 | $0.00 | 3,500 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | M | Direct | ||
| 0 | No | 4 | M | Direct | ||
| 1,034 | No | 4 | M | Direct | ||
| 1,469 | No | 4 | M | Direct | ||
| 1,524 | No | 4 | M | Direct | ||
| 0 | No | 4 | M | Direct |
Footnotes
- Shares of Class A Common Stock were acquired upon settlement of Restricted Stock Units (RSUs).
- The RSUs were settled for Class A common stock on May 1, 2019.
- Grant of stock options pursuant to the Moelis & Company 2014 Omnibus Incentive Plan.
- The IPO Options were originally issued at $25.00. Moelis & Company (the "Company") paid special dividends of $8.30, in aggregate, through May 3, 2019. As required under Section 5 of the Company's 2014 Omnibus Incentive Plan, the Compensation Committee of the Company's Board of Directors equitably reduced the exercise price of the Company's outstanding options to purchase common stock by $8.30 from $25.00 per share to $16.70 per share. Such options are held by certain current and former employees of the Company, including officers and directors.
- The IPO Options vest 25% on April 22, 2017, 25% on April 22, 2018 and 50% on April 22, 2019. The IPO Options expire on April 22, 2020.
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