SEC Form 4 · accession 0001209191-18-063294
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
Dec 14, 2018
Accepted (ET)
Dec 18, 2018 · 6:01 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 | Dec 14, 2018 | M | 2,611 | — | A | 2,611 | D | |
| Class A Common Stock | Dec 14, 2018 | F | 2,611 | $36.49 | 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 | — | Dec 14, 2018 | M | 641 | D | — | — | Class A Common Stock | 641 | 13,908 | D |
| 2014 Incentive Restricted Stock UnitsF2 | — | Dec 14, 2018 | M | 435 | D | — | — | Class A Common Stock | 435 | 9,431 | D |
| 2015 Incentive RSUsF2 | — | Dec 14, 2018 | M | 758 | D | — | — | Class A Common Stock | 758 | 16,452 | D |
| 2017 Incentive RSUsF2 | — | Dec 14, 2018 | M | 776 | D | — | — | Class A Common Stock | 776 | 16,847 | D |
Explanation of responses
- F1Shares of Class A common Stock were acquired in order to settle the tax obligation due as a result of the Retirement Eligibility policy of the Company.
- F2The RSUs were settled for Class A common stock on December 18, 2018 in order to satisfy tax obligations.