SEC Form 4 · accession 0001179110-18-002385
Moelis & Co · MC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth Moelis
Officer — Chairman and CEO · Director · 10% Owner
Period of report
Feb 15, 2018
Accepted (ET)
Feb 20, 2018 · 4:26 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001596967
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2017 Incentive RSUsF1,F2 | — | Feb 15, 2018 | A | 78,957 | A | — | — | Class A Common Stock | 78,957 | 78,957 | D |
| 2017 Long Term Incentive AwardF3,F4 | — | Feb 15, 2018 | A | 11,415 | A | — | — | Class A Common Stock | 11,415 | 11,415 | D |
Explanation of responses
- F1Each 2017 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.
- F2The 2017 Incentive Restricted Stock Units vest in equal installments on February 23, 2019, February 23, 2020, February 23, 2021, February 23, 2022, and February 23, 2023.
- F3Each 2017 Long Term 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.
- F4The 2017 Long Term Incentive RSUs vest in equal installments on February 23, 2021, February 23, 2022 and February 23, 2023.