Filing Details
- Accession Number:
- 0001209191-19-055387
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-11-05 21:00:49
- Reporting Period:
- 2019-11-04
- Accepted Time:
- 2019-11-05 21:00:49
- 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 |
|---|---|---|---|---|---|---|---|
| 1604471 | R. Osamu Watanabe | C/O Moelis &Amp; Company 399 Park Avenue, 5Th Floor New York NY 10022 | General Counsel, Secretary | 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 | 2019-11-04 | 15,776 | $16.70 | 32,876 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2019-11-04 | 15,776 | $35.33 | 17,100 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | 2019-11-04 | 5,776 | $0.00 | 5,776 | $16.70 |
| Class A Common Stock | IPO Options (Right to Buy) | Disposition | 2019-11-04 | 10,000 | $0.00 | 10,000 | $16.70 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | M | Direct | ||
| 10,000 | No | 4 | M | Direct |
Footnotes
- Grant of Stock Options pursuant to the Moelis & Company 2014 Omnibus Incentive Plan.
- The Top Up and IPO Options were originally issued at $25.00. Moelis & Company (the "Company") paid special dividends of $8.30, in aggregate, through August 29, 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 Top Up Options vested 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.
- The IPO Options vested in full on April 22, 2019. The IPO Options expire on April 22, 2020.
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