SEC Form 4 · accession 0001179110-16-029436
Moelis & Co · MC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Osamu R. Watanabe
Officer — General Counsel and Secretary
Period of report
Sep 6, 2016
Accepted (ET)
Sep 8, 2016 · 4:28 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 Incentive Restricted Stock UnitsF1,F2 | $0.00 | Sep 6, 2016 | A | 146 | A | — | — | Class A Common Stock | 146 | 11,977 | D |
| 2014 LTI Restricted Stock UnitsF1,F3 | $0.00 | Sep 6, 2016 | A | 140 | A | — | — | Class A Common Stock | 140 | 11,517 | D |
| 2014 Incentive RSUs Granted in 2015F1,F4 | $0.00 | Sep 6, 2016 | A | 136 | A | — | — | Class A Common Stock | 136 | 11,148 | D |
| 2015 Incentive RSUsF1,F5 | $0.00 | Sep 6, 2016 | A | 201 | A | — | — | Class A Common Stock | 201 | 16,534 | 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.
- F2Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on April 15, 2014 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.
- F3LTI RSUs were issued as dividend equivalents on the holder's unvested underlying LTI RSUs issued on April 15, 2014 (and dividend equivalents subsequently issued thereon). The dividend equivalent LTI RSUs will vest concurrently with the vesting of the unvested underlying LTI RSUs.
- F4Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on March 2, 2015 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.
- F5Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on February 24, 2016 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.