SEC Form 4 · accession 0001179110-18-005901
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
Apr 24, 2018
Accepted (ET)
Apr 26, 2018 · 5:29 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 | 9,337 | — | A | 9,337 | D | |
| Class A Common Stock | Apr 24, 2018 | F | 4,113 | $54.45 | D | 5,224 | D | |
| Class A Common Stock | Apr 26, 2018 | S | 5,224 | $53.801 | 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 UnitsF2 | — | Apr 24, 2018 | M | 9,337 | D | — | — | Class A Common Stock | 9,337 | 9,341 | 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 April 24, 2018.