SEC Form 4 · accession 0001179110-15-004601
Moelis & Co · MC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth Shropshire
Director
Period of report
Mar 6, 2015
Accepted (ET)
Mar 10, 2015 · 4:45 pm EDT
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 Initial Restricted Stock UnitsF1,F2 | $0.00 | Mar 6, 2015 | A | 8 | A | — | — | Class A Common Stock | 8 | 1,250 | D |
| 2014 Director Restricted Stock UnitsF1,F3 | $0.00 | Mar 6, 2015 | A | 1 | A | — | — | Class A Common Stock | 1 | 156 | D |
Explanation of responses
- F1Restricted Stock Unit (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.
- F2Initial RSUs were issued as dividend equivalents on holder's unvested underlying Initial RSUs issued on July 1, 2014 (and dividend equivalents subsequently issued thereon). The dividend equivalent Initial RSUs will vest concurrently with the vesting of the unvested underlying Initial RSUs.
- F3Director RSUs were issued as dividend equivalents on the holder's unvested underlying Director RSUs issued on July 1, 2014 (and dividend equivalents subsequently issued thereon). The dividend equivalent Director RSUs will vest concurrently with the vesting of the unvested underlying Director RSUs.