Filing Details

Accession Number:
0001179110-17-003140
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-02-24 16:49:01
Reporting Period:
2017-02-22
Filing Date:
2017-02-24
Accepted Time:
2017-02-24 16:49:01
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1596967 Moelis & Co MC Investment Advice (6282) 464500216
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1604471 R. Osamu Watanabe C/O Moelis &Amp; Company
399 Park Avenue, 5Th Floor
New York NY 10022
General Counsel And Secretary No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Class A Common Stock Acquisiton 2017-02-22 3,466 $0.00 3,597 No 4 A Direct
Class A Common Stock Disposition 2017-02-22 0 $12.09 3,597 No 4 D Direct
Class A Common Stock Disposition 2017-02-22 3,466 $36.99 131 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 A Direct
No 4 D Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Class A Common Stock 2015 Incentive RSUs Disposition 2017-02-22 3,466 $0.00 3,466 $0.00
Class A Common Stock 2016 Incentive RSUs Acquisiton 2017-02-23 11,885 $0.00 11,885 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
13,866 No 4 M Direct
11,885 No 4 A Direct
Footnotes
  1. Shares of Class A Common Stock were acquired upon settlement of Restricted Stock Units (RSUs).
  2. Pursuant to the terms of the RSUs, fractional shares were settled in cash.
  3. Based on the price per share of Class A common stock of $36.99.
  4. The RSUs were settled for Class A common stock on February 22, 2017.
  5. Each 2016 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.
  6. The 2016 Incentive Restricted Stock Units vest in equal installments on February 23, 2018, February 23, 2019, February 23, 2020, February 23, 2021, and February 23, 2022.