SEC Form 4 · accession 0001179110-15-002370
Moelis & Co · MC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen F Bollenbach
Director
Period of report
Feb 10, 2015
Accepted (ET)
Feb 12, 2015 · 4:14 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001596967
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A common stockF1 | Feb 10, 2015 | M | 1,862 | — | A | 1,862 | D | |
| Class A common stockF2,F6 | Feb 10, 2015 | D | 2 | $69.39 | D | 1,860 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Director Restricted Stock UnitsF5,F3,F4 | — | Feb 10, 2015 | C | 1,862 | D | — | — | Class A Common Stock | 1,862 | 621 | D |
Explanation of responses
- F1Shares of Class A Common Stock were acquired upon settlement of Restricted Stock Units (RSUs).
- F2Pursuant to the terms of the RSUs, fractional shares were settled for cash.
- F3Each RSU represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share pursuant to the Moelis & Company 2014 Omnibus Incentive Plan.
- F4One third of such RSUs vested on each of July 15, 2014, October 15, 2014 and January 15, 2015. The RSUs were settled for Class A common stock on February 10, 2015. The RSUs which vested in 2014 were not settled earlier due to restrictions on the common stock underlying the RSUs.
- F5The remaining Director RSUs vest on April 15, 2015 if Mr. Bollenbach is a Nonemployee Director on such dates.
- F6Based on the closing price per share of Class A common stock of $29.94 on February 9, 2015.