Filing Details

Accession Number:
0001209191-19-048050
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-09-03 20:47:50
Reporting Period:
2019-08-29
Accepted Time:
2019-09-03 20:47:50
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
1604693 Joseph Simon C/O Moelis &Amp; Company
399 Park Avenue, 5Th Floor
New York NY 10022
Chief Financial Officer 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 2019-08-29 17,528 $16.70 43,374 No 4 M Direct
Class A Common Stock Disposition 2019-08-29 17,528 $33.64 25,846 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M 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 Top Up Options (Right to Buy) Disposition 2019-08-29 2,528 $0.00 2,528 $16.70
Class A Common Stock IPO Options (Right to Buy) Disposition 2019-08-29 15,000 $0.00 15,000 $16.70
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
Footnotes
  1. Grant of stock options pursuant to the Moelis & Company 2014 Omnibus Plan.
  2. The Top Up and IPO Options were originally issued at $25.00. Moelis & Company (the "Company") paid special dividends of $8.30, in aggregate, through August 29, 2019. As required under Section 5 of the Company's 2014 Omnibus Incentive Plan, the Compensation Committee of the Company's Board of Directors equitably reduced the exercise price of the Company's outstanding options to purchase common stock by $8.30 from $25.00 per share to $16.70 per share. Such options are held by certain current and former employees of the Company, including officers and directors.
  3. The Top Up Options vested 25% on April 22, 2017, 25% on April 22, 2018 and 50% on April 22, 2019. The Top Up Options expire on April 22, 2020.
  4. The IPO Options vested 100% on April 22, 2019. The IPO Options expire on April 22, 2020.