SEC Form 4 · accession 0001179110-18-005895
Moelis & Co · MC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey Raich
Officer — MD & Co-President · Director
Period of report
Apr 24, 2018
Accepted (ET)
Apr 26, 2018 · 5:25 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 | 26,678 | — | A | 26,678 | D | |
| Class A Common StockF2,F3 | Apr 24, 2018 | D | 1 | $43.81 | D | 26,677 | D | |
| Class A Common Stock | Apr 24, 2018 | S | 13,339 | $54.45 | D | 13,338 | D | |
| Class A Common Stock | Apr 25, 2018 | S | 10,400 | $53.8623 | D | 2,938 | D | |
| Class A Common Stock | Apr 26, 2018 | S | 2,938 | $53.8399 | 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 Restricted Stock UnitsF4 | — | Apr 24, 2018 | M | 26,678 | D | — | — | Class A Common Stock | 26,678 | 26,686 | 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.
- F4The RSUs were settled for Class A common stock on April 24, 2018.