SEC Form 4 · accession 0001179110-17-006277
Moelis & Co · MC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
J Richard Leaman III
Officer — MD & Vice Chairman · Director
Period of report
Apr 26, 2017
Accepted (ET)
Apr 28, 2017 · 4:28 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 |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1 | Apr 26, 2017 | M | 14,626 | — | A | 14,626 | D | |
| Class A Common StockF2,F3 | Apr 26, 2017 | D | 0 | $0.72 | D | 14,626 | D | |
| Class A Common Stock | Apr 26, 2017 | S | 14,626 | $38.12 | D | 0 | D |
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 UnitsF4 | — | Apr 26, 2017 | M | 14,626 | D | — | — | Class A Common Stock | 14,626 | 29,259 | 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 $38.12.
- F4The RSUs were settled for Class A common stock on April 26, 2017.