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Filing Details

Accession Number:: 0001209191-20-056272
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-10-29 21:21:37
Reporting Period:: 2020-10-27

Accepted Time:: 2020-10-29 21:21:37
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	Co-President, Md	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	2020-10-27	354	$0.00	354	No	4	M	Direct
Class A Common Stock	Acquisiton	2020-10-27	578,298	$0.00	578,298	No	4	M	Indirect	By Trust
Class A Common Stock	Acquisiton	2020-10-27	54,802	$0.00	54,802	No	4	M	Indirect	By Trust
Class A Common Stock	Disposition	2020-10-27	364	$38.55	0	No	4	S	Direct
Class A Common Stock	Disposition	2020-10-27	578,298	$38.55	0	No	4	S	Indirect	By Trust
Class A Common Stock	Disposition	2020-10-27	54,802	$38.55	0	No	4	S	Indirect	By Trust

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Direct
No	4	M	Indirect	By Trust
No	4	M	Indirect	By Trust
No	4	S	Direct
No	4	S	Indirect	By Trust
No	4	S	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, Par Value $0.01	Partnership Interests	Disposition	2020-10-27	354	$0.00	354	$0.00
Class A Common Stock, Par Value $0.01	Partnership Interests	Disposition	2020-10-27	578,298	$0.00	578,298	$0.00
Class A Common Stock, Par Value $0.01	Partnership Interests	Disposition	2020-10-27	54,802	$0.00	54,802	$0.00

Remaning Holdings	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
10	No	4	M	Direct
0	No	4	M	Indirect
0	No	4	M	Indirect

Footnotes

On October 27, 2020 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.
Represents transaction by Raich Trust, of which Mr. Raich is a beneficiary. Mr. Raich shares voting and dispositive power over the assets of the trust.
Represents transaction by Raich 2010 Irrevocable Trust. Mr. Raich may have indirect voting power and dispositive power over the assets of the trust as a result of his relationship to the trustee.
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.