SEC Form 4 · accession 0001179110-17-013608
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
Oct 27, 2017
Accepted (ET)
Oct 31, 2017 · 5:44 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 | Oct 27, 2017 | M | 12,420 | — | A | 16,367 | D | |
| Class A Common Stock | Oct 27, 2017 | F | 5,729 | $41.60 | D | 10,638 | 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 | — | Oct 27, 2017 | M | 11,614 | D | — | — | Class A Common Stock | 11,614 | 24,058 | D |
| 2016 Incentive RSUs (September)F2 | — | Oct 27, 2017 | M | 806 | D | — | — | Class A Common Stock | 806 | 3,375 | D |
Explanation of responses
- F1Shares of Class A Common Stock were acquired upon settlement of Restricted Stock Units (RSUs).
- F2The RSUs were settled for Class A common stock on October 27, 2017.