SEC Form 4 · accession 0001179110-17-015713
Moelis & Co · MC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph Simon
Officer — Chief Financial Officer
Period of report
Dec 18, 2017
Accepted (ET)
Dec 20, 2017 · 4:28 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 | Dec 18, 2017 | M | 846 | — | A | 846 | D | |
| Class A Common Stock | Dec 18, 2017 | F | 846 | $48.00 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2016 Incentive RSUsF2 | — | Dec 18, 2017 | M | 846 | D | — | — | Class A Common Stock | 846 | 17,433 | D |
Explanation of responses
- F1Shares of Class A common Stock were acquired in order to settle the tax obligation due as a result of the Retirement Eligibility policy of the Company.
- F2The RSUs were settled for Class A common stock on December 18, 2017 in order to satisfy tax obligations.