SEC Form 4 · accession 0001179110-16-017079
Moelis & Co · MC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey Raich
Officer — MD & Co-President · Director
Period of report
Dec 31, 2015
Accepted (ET)
Jan 5, 2016 · 5:05 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Partnership InterestsF1,F2,F4,F3 | — | Dec 31, 2015 | G | 164,695 | D | — | — | Class A Common stock, par value $0.01 | 164,695 | 0 | I |
| Partnership InterestsF2,F5,F6,F3 | — | Dec 31, 2015 | G | 164,695 | A | — | — | Class A Common stock, par value $0.01 | 164,695 | 164,695 | I |
Explanation of responses
- F1Represents transaction by the Raich Annuity Trust, of which Mr. Raich is a beneficiary. Mr. Raich has voting and dispositive power over the assets of the trust.
- F2Partnership 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.
- F3Pursuant 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 and the amendment thereto have been filed as exhibits to Moelis & Company's registration statement on Form S-1 (File No. 333194306) dated April 8, 2014.
- F4The Raich Annuity Trust transferred the Partnership Interests as a gift without consideration to the Raich 2010 Irrevocable Trust.
- F5Represents a transaction by the 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.
- F6The Raich 2010 Irrevocable Trust received the Partnership Interests as a gift without consideration from the Raich Annuity Trust.