Filing Details
- Accession Number:
- 0001209191-20-012323
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-02-25 06:42:33
- Reporting Period:
- 2020-02-20
- Accepted Time:
- 2020-02-25 06:42:33
- 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
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Acquisiton | 2020-02-20 | 29,469 | $0.00 | 37,136 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2020-02-20 | 327 | $36.72 | 36,809 | No | 4 | F | Direct | |
| Class A Common Stock | Disposition | 2020-02-20 | 14,734 | $36.72 | 22,075 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | 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 RSUs Granted in 2015 | Disposition | 2020-02-20 | 9,005 | $0.00 | 9,005 | $0.00 |
| Class A Common Stock | 2015 Incentive Restricted Stock Units | Disposition | 2020-02-20 | 6,817 | $0.00 | 6,817 | $0.00 |
| Class A Common Stock | 2016 Incentive Restricted Stock Units | Disposition | 2020-02-20 | 4,709 | $0.00 | 4,709 | $0.00 |
| Class A Common Stock | 2017 Incentive Restricted Stock Units | Disposition | 2020-02-20 | 4,551 | $0.00 | 4,551 | $0.00 |
| Class A Common Stock | 2018 Incentive Restricted Stock Units | Disposition | 2020-02-20 | 4,388 | $0.00 | 4,388 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | M | Direct | ||
| 6,817 | No | 4 | M | Direct | ||
| 9,417 | No | 4 | M | Direct | ||
| 13,652 | No | 4 | M | Direct | ||
| 17,553 | No | 4 | M | Direct |
Footnotes
- Shares of Class A Common Stock of Moelis & Company ("Class A Common Stock") were acquired upon settlement of Restricted Stock Units (RSUs).
- Class A Common Stock sold by Ms. Crain in order to raise proceeds to satisfy tax obligations triggered by delivery of the Class A Common Stock upon settlement of the RSUs. Federal taxes are not withheld from Class A Common Stock delivered to Ms. Crain upon settlement of RSUs because she is a partner in Moelis & Company Partner Holdings LP.
- This number excludes (i) 83,813 unvested RSUs granted to Ms. Crain as incentive compensation for fiscal years 2015 through 2019 and (ii) 86,557 shares of Class A Common Stock issuable in exchange for Moelis & Group LP Class A partnership units held by certain trusts, of which Ms. Crain or her immediate family members are beneficiaries. The unvested RSUs represent 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. The vesting schedule applicable to these unvested RSUs can be found on the Form 4s previously filed in connection with the grant of such RSUs.
- The RSUs were settled for Class A Common Stock on February 20, 2020.
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