SEC Form 4 · accession 0001209191-19-011350
Moelis & Co · MC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth Moelis
Officer — Chairman, CEO · Director · 10% Owner
Period of report
Feb 14, 2019
Accepted (ET)
Feb 19, 2019 · 7:20 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2018 Incentive RSUsF1,F2 | — | Feb 14, 2019 | A | 102,160 | A | — | — | Class A Common Stock | 102,160 | 102,160 | D |
Explanation of responses
- F1Each 2018 Incentive RSU represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount in cash equal to the fair market value of such share. Grant of Restricted Stock Units pursuant to the Moelis & Company 2014 Omnibus Incentive Plan.
- F2The 2018 Incentive Restricted Stock Units vest in equal installments on February 23, 2020, February 23, 2021, February 23, 2022, February 23, 2023 and February 23, 2024. The 2018 Incentive Restricted Stock Units are designated Special Restricted Stock Units.