SEC Form 4 · accession 0001179110-18-002895
Moelis & Co · MC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Elizabeth Crain
Officer — Chief Operating Officer
Period of report
Feb 22, 2018
Accepted (ET)
Feb 26, 2018 · 5:31 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 | 17,165 | — | A | 17,165 | D | |
| Class A Common StockF2,F3 | Feb 22, 2018 | D | 1 | $30.03 | D | 17,164 | D | |
| Class A Common Stock | Feb 22, 2018 | S | 8,583 | $50.00 | D | 8,581 | D | |
| Class A Common Stock | Feb 26, 2018 | S | 8,581 | $51.3129 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2014 Incentive RSUs Granted in 2015F4 | — | Feb 22, 2018 | M | 7,529 | D | — | — | Class A Common Stock | 7,529 | 15,059 | D |
| 2015 Incentive RSUsF4 | — | Feb 22, 2018 | M | 5,699 | D | — | — | Class A Common Stock | 5,699 | 17,100 | D |
| 2016 Incentive RSUsF4 | — | Feb 22, 2018 | M | 3,936 | D | — | — | Class A Common Stock | 3,936 | 15,749 | 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.