SEC Form 4 · accession 0001179110-18-002885
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 22, 2018
Accepted (ET)
Feb 26, 2018 · 5:18 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 | Feb 22, 2018 | A | 98,232 | — | A | 98,232 | D | |
| Class A Common StockF2,F3 | Feb 22, 2018 | D | 3 | $125.02 | D | 98,229 | D | |
| Class A Common Stock | Feb 22, 2018 | S | 49,116 | $50.00 | D | 49,113 | 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 RSUs Granted in 2015F4 | — | Feb 22, 2018 | M | 40,518 | D | — | — | Class A Common Stock | 40,518 | 81,038 | D |
| 2015 Incentive RSUsF4 | — | Feb 22, 2018 | M | 38,310 | D | — | — | Class A Common Stock | 38,310 | 114,932 | D |
| 2016 Incentive RSUsF4 | — | Feb 22, 2018 | M | 19,404 | D | — | — | Class A Common Stock | 19,404 | 77,615 | 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 $50.00.
- F4The RSUs were settled for Class A common stock on February 22, 2018.