SEC Form 4 · accession 0001179110-16-032676
Moelis & Co · MC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric Cantor
Officer — MD & Vice Chairman · Director
Period of report
Dec 7, 2016
Accepted (ET)
Dec 9, 2016 · 4:10 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2014 Restricted Stock UnitsF1,F2 | $0.00 | Dec 7, 2016 | A | 349 | A | — | — | Class A Common Stock | 349 | 32,940 | D |
| 2015 Incentive RSUs Granted in 2015 (Quarterly Awards)F1,F3 | $0.00 | Dec 7, 2016 | A | 161 | A | — | — | Class A Common Stock | 161 | 15,201 | D |
| 2015 Incentive RSUsF1,F4 | $0.00 | Dec 7, 2016 | A | 224 | A | — | — | Class A Common Stock | 224 | 21,153 | D |
| 2016 Incentive RSUs Granted in 2016 (Quarterly Awards)F1,F5 | $0.00 | Dec 7, 2016 | A | 126 | A | — | — | Class A Common Stock | 126 | 11,922 | 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 quarterly in 2015 as follows: (1) 38.69 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on April 3, 2015 (and dividend equivalents thereon), (2) 39.96 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on June 30, 2015 (and dividend equivalents thereon), (3) 42.64 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on September 30, 2015 (and dividend equivalents thereon) and (4) 39.64 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on December 31, 2015 (and dividend equivalents thereon). In all cases, the dividend equivalent RSUs will vest concurrently with the vesting of the respective unvested underlying RSUs.
- F4RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on February 24, 2016 (and dividend equivalents subsequently issued thereon). The dividend equivalent RSUs will vest concurrently with the vesting of the unvested underlying RSUs.
- F5RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued quarterly in 2016 as follows: (1) 39.63 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on March 31, 2016 (and dividend equivalents thereon), (2) 45.84 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on June 30, 2016, and (3) 40.76 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on September 30, 2016. In all cases, the dividend equivalent RSUs will vest concurrently with the vesting of the respective unvested underlying RSUs.