SEC Form 4 · accession 0001179110-18-002887
Moelis & Co · MC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Navid Mahmoodzadegan
Officer — MD & Co-President · Director
Period of report
Feb 22, 2018
Accepted (ET)
Feb 26, 2018 · 5:20 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 | M | 86,939 | — | A | 86,939 | D | |
| Class A Common StockF2,F3 | Feb 22, 2018 | D | 1 | $63.94 | D | 86,938 | D | |
| Class A Common Stock | Feb 22, 2018 | S | 43,470 | $50.00 | D | 43,468 | D | |
| Class A Common Stock | Feb 26, 2018 | S | 10,000 | $51.49 | D | 33,468 | 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 | 43,709 | D | — | — | Class A Common Stock | 43,709 | 87,418 | D |
| 2015 Incentive RSUsF4 | — | Feb 22, 2018 | M | 23,826 | D | — | — | Class A Common Stock | 23,826 | 71,482 | 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.