Form 4 for MC Moelis & Co
Accepted 2022-02-24 00:00:00 ET · period of report 2022-02-22 · accession 0001209191-22-012865 · 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 | 2022-02-24 | 2022-02-22 | MC | RAICH JEFFREY | Co-Pres, MD, Dir | F - Tax | $47.12 | -6,839 | 131.7K | -5% | -$322.3K |
| D | 2022-02-24 | 2022-02-22 | MC | RAICH JEFFREY | Co-Pres, MD, Dir | M - OptEx | — | +84.4K | 138.5K | +156% | — |
| D | 2022-02-24 | 2022-02-22 | MC | RAICH JEFFREY | Co-Pres, MD, Dir | S - Sale+OE | $47.12 | -33.8K | 97.9K | -26% | -$1.59M |
| DM | 2022-02-24 | 2022-02-22 | MC | RAICH JEFFREY | Co-Pres, MD, Dir | M - OptEx | $0.00 | -84.4K | 23.5K | -78% | $0 |
| D | 2022-02-24 | 2022-02-22 | MC | RAICH JEFFREY | Co-Pres, MD, Dir | A - Grant | $0.00 | +82.5K | 82.5K | New | $0 |
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 | 2022-02-22 | F | D | 6,839.47 | $47.12 | 131,656 | D | — | — | |
| 2 | Common | Class A Common Stock | 2022-02-22 | M | A | 84,411.47 | — | 138,495.47 | D | — | — | (F1) Shares of Class A Common Stock were acquired upon settlement of Restricted Stock Units (RSUs). |
| 3 | Common | Class A Common Stock | 2022-02-22 | S | D | 33,762 | $47.12 | 97,894 | D | — | — | (F2) 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. |
| 4 | Derivative | 2018 Incentive Restricted Stock Units | 2022-02-22 | M | D | 15,712.01 | $0.00 | 31,425.37 | D | — · — to — | 15,712.01 Class A Common Stock | (F3) The RSUs were settled for Class A common stock on February 22, 2022. |
| 5 | Derivative | 2019 Incentive Restricted Stock Units | 2022-02-22 | M | D | 16,227.90 | $0.00 | 48,683.71 | D | — · — to — | 16,227.90 Class A Common Stock | (F3) The RSUs were settled for Class A common stock on February 22, 2022. |
| 6 | Derivative | LP Units of Moelis & Company Group Employee Holdings LP | 2022-02-22 | A | A | 82,465 | $0.00 | 82,465 | D | — · — to — | 82,465 Class A Common Stock | (F4) Pursuant to the terms of the Second Amended and Restated Limited Partnership Agreement of Moelis & Company Group Employee Holdings LP ("MCGEH"), limited partnership units of MCGEH ("LP Units") may be redeemed by the holder for shares of Class A Common Stock of the Issuer ("Class A Common Stock") on a one-for-one basis. (F6) These LP Units vest over four years as follows: (a) 40% vests on February 23, 2023, and (b) and 20% vests on each of February 23, 2024, February 23, 2025 and February 23, 2026. The redemption rights described herein do not expire. |
| 7 | Derivative | 2016 Incentive Restricted Stock Units | 2022-02-22 | M | D | 28,928.14 | $0.00 | 0 | D | — · — to — | 28,928.14 Class A Common Stock | (F3) The RSUs were settled for Class A common stock on February 22, 2022. |
| 8 | Derivative | 2017 Incentive Restricted Stock Units | 2022-02-22 | M | D | 23,543.42 | $0.00 | 23,543.42 | D | — · — to — | 23,543.42 Class A Common Stock | (F3) The RSUs were settled for Class A common stock on February 22, 2022. |