SEC Form 4 · accession 0001179110-17-003140
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
Feb 22, 2017
Accepted (ET)
Feb 24, 2017 · 4:49 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 |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1 | Feb 22, 2017 | A | 3,466 | — | A | 3,597 | D | |
| Class A Common StockF2,F3 | Feb 22, 2017 | D | 0 | $12.09 | D | 3,597 | D | |
| Class A Common Stock | Feb 22, 2017 | S | 3,466 | $36.99 | D | 131 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2015 Incentive RSUsF4 | — | Feb 22, 2017 | M | 3,466 | D | — | — | Class A Common Stock | 3,466 | 13,866 | D |
| 2016 Incentive RSUsF5,F6 | — | Feb 23, 2017 | A | 11,885 | A | — | — | Class A Common Stock | 11,885 | 11,885 | D |
Explanation of responses
- F1Shares of Class A Common Stock were acquired upon settlement of Restricted Stock Units (RSUs).
- F2Pursuant to the terms of the RSUs, fractional shares were settled in cash.
- F3Based on the price per share of Class A common stock of $36.99.
- F4The RSUs were settled for Class A common stock on February 22, 2017.
- F5Each 2016 Incentive RSU represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount in cash equal to the fair market value of such share. Grant of Restricted Stock Units pursuant to the Moelis & Company 2014 Omnibus Incentive Plan.
- F6The 2016 Incentive Restricted Stock Units vest in equal installments on February 23, 2018, February 23, 2019, February 23, 2020, February 23, 2021, and February 23, 2022.