SEC Form 4 · accession 0001179110-15-004179
Moelis & Co · MC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph Simon
Officer — Chief Financial Officer
Period of report
Mar 2, 2015
Accepted (ET)
Mar 4, 2015 · 4:34 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001596967
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2014 Incentive RSUs Granted in 2015F1,F2 | — | Mar 2, 2015 | A | 16,264 | A | — | — | Class A Common Stock | 16,264 | 16,264 | D |
Explanation of responses
- F1Each 2014 Incentive RSU granted in 2015 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. Grant of Restricted Stock Units pursuant to the Moelis & Company 2014 Omnibus Incentive Plan.
- F2The Incentive Restricted Stock Units vest in equal installments on February 23, 2018, February 23, 2019 and February 23, 2020.