Filing Details
- Accession Number:
- 0001209191-23-012926
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-02-24 19:22:10
- Reporting Period:
- 2023-02-22
- Accepted Time:
- 2023-02-24 19:22:10
- 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 | 2023-02-22 | 14,293 | $0.00 | 14,424 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2023-02-22 | 2,447 | $42.06 | 11,977 | No | 4 | F | Direct | |
| Class A Common Stock | Disposition | 2023-02-22 | 5,716 | $42.06 | 6,261 | 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | 2017 Incentive Restricted Stock Units | Disposition | 2023-02-22 | 3,200 | $0.00 | 3,200 | $0.00 |
| Class A Common Stock | 2018 Incentive Restricted Stock Units | Disposition | 2023-02-22 | 3,282 | $0.00 | 3,282 | $0.00 |
| Class A Common Stock | 2019 Incentive Restricted Stock Units | Disposition | 2023-02-22 | 4,026 | $0.00 | 4,026 | $0.00 |
| Class A Common Stock | 2020 Incentive Restricted Stock Units | Disposition | 2023-02-22 | 1,948 | $0.00 | 1,948 | $0.00 |
| Class A Common Stock | 2021 Incentive Restricted Stock Units | Disposition | 2023-02-22 | 1,837 | $0.00 | 1,837 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | M | Direct | ||
| 3,283 | No | 4 | M | Direct | ||
| 8,051 | No | 4 | M | Direct | ||
| 5,845 | No | 4 | M | Direct | ||
| 7,350 | No | 4 | M | Direct |
Footnotes
- Shares of Class A Common Stock were acquired upon settlement of Restricted Stock Units (RSUs).
- Class A Common Stock sold by Mr. Watanabe 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. Watanabe upon settlement of RSUs because he is a partner in Moelis & Company Partner Holdings LP.
- The RSUs were settled for Class A common stock on February 22, 2023.
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