SEC Form 4 · accession 0001179110-16-028506
Moelis & Co · MC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth Shropshire
Director
Period of report
Aug 8, 2016
Accepted (ET)
Aug 10, 2016 · 4:05 pm EDT
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 |
|---|---|---|---|---|---|---|---|---|
| Restricted Stock Units for Non-Employee DirectorF1 | Aug 8, 2016 | D | 1,354 | — | D | 0 | D | |
| Class A Common Stock, par value $0.01F2 | Aug 8, 2016 | A | 1,354 | — | A | 2,019 | D | |
| Class A Common Stock, par value $0.01F3,F4 | Aug 8, 2016 | D | 1 | $21.34 | D | 2,018 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Each RSU represents the right to receive upon settlement a share of Class A common stock pursuant to the Moelis & Company 2014 Omnibus Plan. The RSUs vested on July 1, 2014 with settlement to occur within 60 days of July 1, 2016. The RSUs were settled on August 8, 2016.
- F2Shares of Class A Common Stock were acquired upon settlement of Restricted Stock Units (RSUs).
- F3Pursuant to the terms of the RSUs, fractional shares were settled in cash.
- F4Based on the closing price per share of Class A common stock of $27.07 on August 5, 2016.