Filing Details

Accession Number:
0001209191-20-008526
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-02-11 19:39:09
Reporting Period:
2020-02-07
Accepted Time:
2020-02-11 19:39:09
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 2020-02-07 10,000 $16.70 27,100 No 4 M Direct
Class A Common Stock Disposition 2020-02-07 10,000 $38.80 17,100 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 IPO Options (Right to Buy) Disposition 2020-02-07 10,000 $0.00 10,000 $16.70
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 M Direct
Footnotes
  1. Grant of Stock Options pursuant to the Moelis & Company 2014 Omnibus Incentive Plan.
  2. The IPO Options were originally issued at $25.00. Moelis & Company (the "Company") paid special dividends of $8.30, in aggregate, through February 7, 2020. 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 IPO Options vested in full on April 22, 2019. The IPO Options expire on April 22, 2020.