Filing Details
- Accession Number:
- 0001209191-19-027593
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-05-03 20:21:22
- Reporting Period:
- 2019-05-01
- Accepted Time:
- 2019-05-03 20:21:22
- 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, 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 | 2019-05-01 | 33,944 | $0.00 | 34,075 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2019-05-01 | 3 | $106.54 | 34,072 | No | 4 | D | Direct | |
| Class A Common Stock | Disposition | 2019-05-01 | 16,972 | $37.50 | 17,100 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | 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 | 2014 LTI Incentive Restricted Stock Units | Disposition | 2019-05-01 | 14,683 | $0.00 | 14,683 | $0.00 |
| Class A Common Stock | 2014 Incentive Restricted Stock Units | Disposition | 2019-05-01 | 5,092 | $0.00 | 5,092 | $0.00 |
| Class A Common Stock | 2014 Incentive RSUs Granted in 2015 | Disposition | 2019-05-01 | 4,737 | $0.00 | 4,737 | $0.00 |
| Class A Common Stock | 2015 Incentive RSUs | Disposition | 2019-05-01 | 4,216 | $0.00 | 4,216 | $0.00 |
| Class A Common Stock | 2016 Incentive RSUs | Disposition | 2019-05-01 | 2,891 | $0.00 | 2,891 | $0.00 |
| Class A Common Stock | 2017 Incentive RSUs | Disposition | 2019-05-01 | 2,325 | $0.00 | 2,325 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | M | Direct | ||
| 0 | No | 4 | M | Direct | ||
| 4,739 | No | 4 | M | Direct | ||
| 8,433 | No | 4 | M | Direct | ||
| 8,673 | No | 4 | M | Direct | ||
| 9,302 | No | 4 | M | Direct |
Footnotes
- Shares of Class A Common Stock were acquired upon settlement of Restricted Stock Units (RSUs).
- Pursuant to the terms of the RSUs, fractional shares were settled in cash.
- Based on the price per share of Class A common stock of $37.50.
- The RSUs were settled for Class A common stock on May 1, 2019.
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