SEC Form 4 · accession 0001179110-18-005894
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
Apr 24, 2018
Accepted (ET)
Apr 26, 2018 · 5:24 pm EDT
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 | Apr 24, 2018 | M | 35,570 | — | A | 86,684 | D | |
| Class A Common StockF2,F3 | Apr 24, 2018 | D | 0 | $22.05 | D | 86,684 | D | |
| Class A Common Stock | Apr 24, 2018 | S | 17,785 | $54.45 | D | 68,899 | D | |
| Class A Common StockF4 | Apr 25, 2018 | S | 5,102 | $54.0304 | D | 63,797 | D | |
| Class A Common StockF4 | Apr 26, 2018 | S | 8,000 | $54.00 | D | 55,797 | 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 Restricted Stock UnitsF5 | — | Apr 24, 2018 | M | 35,570 | D | — | — | Class A Common Stock | 35,570 | 35,581 | 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 $54.45.
- F4Class A common stock sold pursuant to a 10b5-1 plan.
- F5The RSUs were settled for Class A common stock on April 24, 2018.