Filing Details

Accession Number:
0001209191-20-012312
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-02-24 21:55:30
Reporting Period:
2020-02-20
Accepted Time:
2020-02-24 21:55:30
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
1604691 Jeffrey Raich C/O Moelis &Amp; Company
399 Park Avenue, 5Th Floor
New York NY 10022
Co-President, Md Yes 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 2020-02-20 135,466 $0.00 135,466 No 4 M Direct
Class A Common Stock Disposition 2020-02-20 1,492 $36.72 133,974 No 4 F Direct
Class A Common Stock Disposition 2020-02-20 67,733 $36.72 66,241 No 4 S Direct
Class A Common Stock Disposition 2020-02-21 17,695 $37.01 48,546 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 F Direct
No 4 S 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 Incentive RSUs Granted in 2015 Disposition 2020-02-20 52,274 $0.00 52,274 $0.00
Class A Common Stock 2015 Incentive Restricted Stock Units Disposition 2020-02-20 28,496 $0.00 28,496 $0.00
Class A Common Stock 2016 Incentive Restricted Stock Units Disposition 2020-02-20 23,206 $0.00 23,206 $0.00
Class A Common Stock 2017 Incentive Restricted Stock Units Disposition 2020-02-20 18,885 $0.00 18,885 $0.00
Class A Common Stock 2018 Incentive Restricted Stock Units Disposition 2020-02-20 12,604 $0.00 12,604 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 M Direct
28,496 No 4 M Direct
46,412 No 4 M Direct
56,658 No 4 M Direct
50,418 No 4 M Direct
Footnotes
  1. Shares of Class A Common Stock were acquired upon settlement of Restricted Stock Units (RSUs).
  2. Class A Common Stock sold by Mr. Raich in order to raise proceeds to satisfy tax obligations triggered by delivery of the Class A Common Stock upon settlement of the RSUs. Federal taxes are not withheld from Class A Common Stock delivered to Mr. Raich upon settlement of RSUs because he is a partner in Moelis & Company Partner Holdings LP.
  3. This number excludes (i) 247,074 unvested RSUs granted to Mr. Raich as incentive compensation for fiscal years 2015 through 2019 and (ii) 633,464 shares of Class A Common Stock issuable in exchange for Moelis & Group LP Class A partnership units held by certain trusts, of which Mr. Raich or his immediate family members are beneficiaries. The unvested RSUs represent 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. The vesting schedule applicable to these unvested RSUs can be found on the Form 4s previously filed in connection with the grant of such RSUs.
  4. The RSUs were settled for Class A Common Stock on February 20, 2020.