SEC Form 4 · accession 0001179110-18-002897
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
Feb 22, 2018
Accepted (ET)
Feb 26, 2018 · 5:32 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 | 15,353 | — | A | 15,353 | D | |
| Class A Common Stock | Feb 22, 2018 | F | 5,151 | $50.00 | D | 10,202 | D | |
| Class A Common Stock | Feb 22, 2018 | S | 2,528 | $50.00 | D | 7,674 | D | |
| Class A Common Stock | Feb 23, 2018 | S | 7,674 | $51.0065 | 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 2015F2 | — | Feb 22, 2018 | M | 6,636 | D | — | — | Class A Common Stock | 6,636 | 13,273 | D |
| 2015 Incentive RSUsF2 | — | Feb 22, 2018 | M | 5,232 | D | — | — | Class A Common Stock | 5,232 | 15,699 | D |
| 2016 Incentive RSUsF2 | — | Feb 22, 2018 | M | 3,486 | D | — | — | Class A Common Stock | 3,486 | 13,947 | D |
Explanation of responses
- F1Shares of Class A Common Stock were acquired upon settlement of Restricted Stock Units (RSUs).
- F2The RSUs were settled for Class A common stock on February 22, 2018.