SEC Form 4 · accession 0001179110-18-003947
Moelis & Co · MC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
J Richard Leaman III
Officer — MD & Vice Chairman · Director
Period of report
Mar 7, 2018
Accepted (ET)
Mar 9, 2018 · 4:03 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2014 Incentive Restricted Stock UnitsF1,F2 | $0.00 | Mar 7, 2018 | A | 1,168 | A | — | — | Class A Common Stock | 1,168 | 32,019 | D |
| 2014 Incentive RSUs Granted in 2015F1,F3 | $0.00 | Mar 7, 2018 | A | 1,352 | A | — | — | Class A Common Stock | 1,352 | 37,086 | D |
| 2015 Incentive RSUsF1,F4 | $0.00 | Mar 7, 2018 | A | 1,220 | A | — | — | Class A Common Stock | 1,220 | 33,458 | D |
| 2016 Incentive RSUsF1,F5 | $0.00 | Mar 7, 2018 | A | 383 | A | — | — | Class A Common Stock | 383 | 10,506 | D |
| 2017 Incentive RSUsF1,F6 | $0.00 | Mar 7, 2018 | A | 288 | A | — | — | Class A Common Stock | 288 | 7,898 | D |
Explanation of responses
- F1Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.
- F2Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on April 15, 2014 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.
- F3Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on March 2, 2015 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.
- F4Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 24, 2016 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.
- F5Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 23, 2017 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.
- F6Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 15, 2018 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.