SEC Form 4 · accession 0001179110-16-021284
Moelis & Co · MC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth Shropshire
Director
Period of report
Mar 4, 2016
Accepted (ET)
Mar 8, 2016 · 5:11 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 |
|---|---|---|---|---|---|---|---|---|
| 2015 Annual Restricted Stock UnitsF1,F2 | Mar 4, 2016 | A | 59 | — | A | 1,460 | D | |
| 2015 Elective Restricted Stock UnitsF1,F3 | Mar 4, 2016 | A | 7 | — | A | 183 | D |
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 UnitsF4,F5 | $0.00 | Mar 4, 2016 | A | 54 | A | — | — | Class A Common Stock | 54 | 1,339 | D |
Explanation of responses
- F1Each Annual Restricted Stock Unit (RSU) represents the right to receive one share of Class A Common Stock.
- F22015 Annual RSUs were issued as dividend equivalents on holder's underlying Initial RSUs issued on July 10, 2015 (and dividend equivalents thereon). The dividend equivalent Annual RSUs will vest concurrently with the vesting of the underlying Annual RSUs.
- F32015 Elective RSUs were issued as dividend equivalents on holder's underlying Elective RSUs issued on July 10, 2015 (and dividend equivalents thereon). The dividend equivalent Elective RSUs will vest concurrently with the vesting of the underlying Elective RSUs.
- F4Restricted 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.
- F5Initial 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.