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Filing Details

Accession Number:: 0001209191-19-027603
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2019-05-03 21:07:38
Reporting Period:: 2019-05-01

Accepted Time:: 2019-05-03 21:07:38
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
1604659	Elizabeth Crain	C/O Moelis &Amp; Company 399 Park Avenue, 5Th Floor New York NY 10022	Chief Operating Officer	Yes	Yes	No	No

Reported Non-Derivative Transactions

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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	33,943	$0.00	33,943	No	4	M	Direct
Class A Common Stock	Disposition	2019-05-01	3	$97.34	33,940	No	4	D	Direct
Class A Common Stock	Disposition	2019-05-01	16,971	$37.50	16,969	No	4	S	Direct
Class A Common Stock	Acquisiton	2019-05-01	698	$0.00	698	No	4	M	Indirect	By Trust

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Direct
No	4	D	Direct
No	4	S	Direct
No	4	M	Indirect	By Trust

Reported Derivative Transactions

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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	9,987	$0.00	9,987	$0.00
Class A Common Stock	2014 Incentive RSUs Granted in 2015	Disposition	2019-05-01	8,601	$0.00	8,601	$0.00
Class A Common Stock	2015 Incentive RSUs	Disposition	2019-05-01	6,510	$0.00	6,510	$0.00
Class A Common Stock	2016 Incentive RSUs	Disposition	2019-05-01	4,498	$0.00	4,498	$0.00
Class A Common Stock	2017 Incentive RSUs	Disposition	2019-05-01	4,347	$0.00	4,347	$0.00
Class A Common Stock, Par Value $0.01	Partnership Interests	Disposition	2019-05-01	698	$0.00	698	$0.00

Remaning Holdings	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	No	4	M	Direct
8,601	No	4	M	Direct
13,023	No	4	M	Direct
13,493	No	4	M	Direct
17,386	No	4	M	Direct
12,455	No	4	M	Indirect

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 $37.50.
Represents transactions by Trust U/Article Second (B) of the Elizabeth A. Crain GRAT U/A 9-3--2010. Ms. Crain may have indirect voting power and dispositive power over the assets of the trust as a result of her relationship to the trustee.
On May 1, 2019 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.
The RSUs were settled for Class A common stock on May 1, 2019.
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.