SEC Form 4 · accession 0001179110-17-012089
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
Sep 1, 2017
Accepted (ET)
Sep 6, 2017 · 4:34 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 | Sep 1, 2017 | M | 412 | — | A | 4,359 | D | |
| Class A Common Stock | Sep 1, 2017 | F | 412 | $39.40 | D | 3,947 | D |
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 UnitsF2 | — | Sep 1, 2017 | M | 412 | D | — | — | Class A Common Stock | 412 | 35,672 | D |
Explanation of responses
- F1Shares of Class A Common Stock were acquired in order to settle the tax obligation due upon the vesting of 12,026.49 units on September 1, 2017. The grant and any net settlement were approved by the Board of Directors under Section 16b-3.
- F2The RSUs were settled for Class A common stock on September 1, 2017 in order to satisfy tax obligations.