SEC Form 4 · accession 0001179110-15-013208
Moelis & Co · MC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric Cantor
Director
Period of report
Sep 8, 2015
Accepted (ET)
Sep 10, 2015 · 4:53 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 Restricted Stock UnitsF1,F2 | $0.00 | Sep 8, 2015 | A | 330 | A | — | — | Class A Common Stock | 330 | 30,245 | D |
| 2014 Incentive RSUs Granted in 2015 (March)F1,F3 | $0.00 | Sep 8, 2015 | A | 37 | A | — | — | Class A Common Stock | 37 | 3,356 | D |
| 2015 Incentive RSUs Granted in 2015 (June)F1,F4 | $0.00 | Sep 8, 2015 | A | 38 | A | — | — | Class A Common Stock | 38 | 3,466 | D |
Explanation of responses
- F1Each Restricted Stock Unit 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.
- F2RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on September 1, 2014 (and dividend equivalents issued thereon). The dividend equivalent RSUs will vest concurrently with the vesting of the unvested underlying RSUs.
- F3RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on April 3, 2015. The dividend equivalent RSUs will vest concurrently with the vesting of the unvested underlying RSUs.
- F4RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on June 30, 2015. The dividend equivalent RSUs will vest concurrently with the vesting of the unvested underlying RSUs.