Form 4 for MC Moelis & Co
Accepted 2021-11-30 00:00:00 ET · period of report 2021-11-26 · accession 0001209191-21-067184 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2021-11-30 | 2021-11-26 | MC | MOELIS KENNETH | COB, CEO, Dir, 10% | M - OptEx | — | +13 | 88.1K | +0.0% | — |
| D | 2021-11-30 | 2021-11-26 | MC | MOELIS KENNETH | COB, CEO, Dir, 10% | M - OptEx | — | -24.0K | 4.69M | -0.5% | — |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Class A Common Stock | 2021-11-26 | M | A | 13 | — | 88,122 | D | — | — | (F1) The conversion covered by this footnote automatically occurred pursuant to the terms of the Company's Amended and Restated Certificate of Incorporation when certain Moelis & Company Group LP Units ("Group Units") were exchanged for Class A common stock by certain selling stockholders in connection with the Company's public offering closed on April 21, 2014. (F2) Mr. Moelis' ownership of 88,122 shares of Class A common stock is in addition to (i) 303,676 shares of Class A common stock held by The Moelis Family Trust, (ii) 484,724 units of unvested equity granted to Mr. Moelis as incentive compensation for fiscal years 2016 through 2020, (iii) 4,076,314 shares of Class A common stock issuable in exchange for Group Units held by The Moelis Family Trust. |
| 2 | Derivative | Class B Common Stock, par value $0.01 | 2021-11-26 | M | D | 23,977 | — | 4,686,344 | D | — · — to — | 13 Class A Common Stock, par value $0.01 | (F1) The conversion covered by this footnote automatically occurred pursuant to the terms of the Company's Amended and Restated Certificate of Incorporation when certain Moelis & Company Group LP Units ("Group Units") were exchanged for Class A common stock by certain selling stockholders in connection with the Company's public offering closed on April 21, 2014. (F3) Each share of Class B common stock is convertible into approximately 0.00055 shares of Class A common stock in certain circumstances, including when and if certain holders of Group Units elect to exchange such units for Class A common stock. Such conversions of Class B common stock may often result in conversion into less than 1 share of Class A common stock and in such case in lieu of such fractional share, the Company will pay the holder (Partner Holdings) cash equal to the Value (as defined in the Company's Amended and Restated Certificate of Incorporation) of the fractional share of Class A common stock. |