MC

SEC source: 0001209191-20-062838 · doc4.xml · derivative · entry 2

SIMON JOSEPH · CIK 0001604693 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,912.77

Underlying: Class A Common Stock · 86.04 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F3 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on February 23, 2017 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

F3 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on February 23, 2017 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

SEC source: 0001209191-20-062838 · doc4.xml · derivative · entry 1

SIMON JOSEPH · CIK 0001604693 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,688.12

Underlying: Class A Common Stock · 64.56 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F2 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on February 24, 2016 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

F2 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on February 24, 2016 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

SEC source: 0001209191-20-062834 · doc4.xml · nonDerivative · entry 2

Richardson Yolonda C · CIK 0001763524 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,302.87

F1 · price: Each Initial Restricted Stock Unit (RSU) represents the right to receive one share of Class A common stock.

F3 · price: 2020 Annual RSUs were issued as dividend equivalents on holder's underlying Annual RSUs issued on July 1, 2020. The dividend equivalent Annual RSUs will vest concurrently with the vesting of the underlying Annual RSUs.

SEC source: 0001209191-20-062834 · doc4.xml · nonDerivative · entry 1

Richardson Yolonda C · CIK 0001763524 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,283.26

F1 · price: Each Initial Restricted Stock Unit (RSU) represents the right to receive one share of Class A common stock.

F2 · price: 2019 Annual RSUs were issued as dividend equivalents on holder's underlying Annual RSUs issued on July 1, 2019. The dividend equivalent Annual RSUs will vest concurrently with the vesting of the underlying Annual RSUs.

SEC source: 0001209191-20-062832 · doc4.xml · derivative · entry 5

RAICH JEFFREY · CIK 0001604691 · Director · Co-President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,558.6

Underlying: Class A Common Stock · 671.49 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F6 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on February 13, 2020 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

F6 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on February 13, 2020 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

SEC source: 0001209191-20-062832 · doc4.xml · derivative · entry 4

RAICH JEFFREY · CIK 0001604691 · Director · Co-President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,879.01

Underlying: Class A Common Stock · 520.13 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F5 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on February 14, 2019 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

F5 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on February 14, 2019 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

SEC source: 0001209191-20-062832 · doc4.xml · derivative · entry 3

RAICH JEFFREY · CIK 0001604691 · Director · Co-President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,548.04

Underlying: Class A Common Stock · 584.51 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F4 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 15, 2018 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

F4 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 15, 2018 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

SEC source: 0001209191-20-062832 · doc4.xml · derivative · entry 2

RAICH JEFFREY · CIK 0001604691 · Director · Co-President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,598.55

Underlying: Class A Common Stock · 478.8 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F3 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 23, 2017 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

F3 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 23, 2017 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

SEC source: 0001209191-20-062832 · doc4.xml · derivative · entry 1

RAICH JEFFREY · CIK 0001604691 · Director · Co-President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,452.84

Underlying: Class A Common Stock · 293.98 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F2 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 24, 2016 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

F2 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 24, 2016 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

SEC source: 0001209191-20-062830 · doc4.xml · derivative · entry 6

MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,934.52

Underlying: Class A Common Stock · 1,263.99 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F7 · derivative.exercise_date: Long Term Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 13, 2020 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

F7 · derivative.expiration_date: Long Term Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 13, 2020 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

SEC source: 0001209191-20-062830 · doc4.xml · derivative · entry 5

MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,285.34

Underlying: Class A Common Stock · 919.85 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F6 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on February 14, 2019 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

F6 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on February 14, 2019 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

SEC source: 0001209191-20-062830 · doc4.xml · derivative · entry 4

MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,589.04

Underlying: Class A Common Stock · 140.84 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F5 · derivative.exercise_date: Long Term Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 15, 2018 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

F5 · derivative.expiration_date: Long Term Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 15, 2018 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

SEC source: 0001209191-20-062830 · doc4.xml · derivative · entry 3

MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,548.04

Underlying: Class A Common Stock · 584.51 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F4 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 15, 2018 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

F4 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 15, 2018 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

SEC source: 0001209191-20-062830 · doc4.xml · derivative · entry 2

MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,598.55

Underlying: Class A Common Stock · 478.8 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F3 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 23, 2017 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

F3 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 23, 2017 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

SEC source: 0001209191-20-062830 · doc4.xml · derivative · entry 1

MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,963.45

Underlying: Class A Common Stock · 472.67 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F2 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 24, 2016 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

F2 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 24, 2016 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

SEC source: 0001209191-20-062828 · doc4.xml · derivative · entry 5

MAHMOODZADEGAN NAVID · CIK 0001604685 · Director · Co-President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 211,406.2

Underlying: Class A Common Stock · 2,040.83 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F6 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on February 13, 2020 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

F6 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on February 13, 2020 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

SEC source: 0001209191-20-062828 · doc4.xml · derivative · entry 4

MAHMOODZADEGAN NAVID · CIK 0001604685 · Director · Co-President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,753.97

Underlying: Class A Common Stock · 1,059.52 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F5 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on February 14, 2019 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

F5 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on February 14, 2019 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

SEC source: 0001209191-20-062828 · doc4.xml · derivative · entry 3

MAHMOODZADEGAN NAVID · CIK 0001604685 · Director · Co-President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,548.04

Underlying: Class A Common Stock · 584.51 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F4 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 15, 2018 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

F4 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 15, 2018 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

SEC source: 0001209191-20-062828 · doc4.xml · derivative · entry 2

MAHMOODZADEGAN NAVID · CIK 0001604685 · Director · Co-President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,598.55

Underlying: Class A Common Stock · 478.8 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F3 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 23, 2017 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

F3 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 23, 2017 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

SEC source: 0001209191-20-062828 · doc4.xml · derivative · entry 1

MAHMOODZADEGAN NAVID · CIK 0001604685 · Director · Co-President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,452.84

Underlying: Class A Common Stock · 293.98 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F2 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 24, 2016 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

F2 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 24, 2016 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

SEC source: 0001209191-20-062826 · doc4.xml · derivative · entry 5

CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,871.17

Underlying: Class A Common Stock · 375.25 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F6 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 13, 2020 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

F6 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 13, 2020 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

SEC source: 0001209191-20-062826 · doc4.xml · derivative · entry 4

CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,757.9

Underlying: Class A Common Stock · 181.08 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F5 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 14, 2019 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

F5 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 14, 2019 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

SEC source: 0001209191-20-062826 · doc4.xml · derivative · entry 3

CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,589.04

Underlying: Class A Common Stock · 140.84 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F4 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 15, 2018 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

F4 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 15, 2018 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

SEC source: 0001209191-20-062826 · doc4.xml · derivative · entry 2

CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,063.94

Underlying: Class A Common Stock · 97.15 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F3 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 23, 2017 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

F3 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 23, 2017 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

SEC source: 0001209191-20-062826 · doc4.xml · derivative · entry 1

CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,285.37

Underlying: Class A Common Stock · 70.33 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F2 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 24, 2016 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

F2 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 24, 2016 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

SEC source: 0001209191-20-062824 · doc4.xml · derivative · entry 12

Cantor Eric · CIK 0001618434 · Director · Vice Chairman, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,189.37

Underlying: Class A Common Stock · 368.66 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F12 · derivative.exercise_date: RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on February 13, 2020 (and dividend equivalents issued thereon). The dividend equivalent RSUs will vest concurrently with the vesting of the unvested underlying RSUs.

F12 · derivative.expiration_date: RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on February 13, 2020 (and dividend equivalents issued thereon). The dividend equivalent RSUs will vest concurrently with the vesting of the unvested underlying RSUs.

SEC source: 0001209191-20-062824 · doc4.xml · derivative · entry 11

Cantor Eric · CIK 0001618434 · Director · Vice Chairman, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,622.53

Underlying: Class A Common Stock · 102.55 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F11 · derivative.exercise_date: RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued quarterly in 2019 as follows: (1) 20.77 RSUs were issued as dividend equivalents on holder's unvested underling RSUs issued on March 29, 2019 (and dividend equivalents thereon), (2) 24.74 RSUs were issued as dividend equivalents on holder's unvested underling RSUs issued on June 28, 2019 (and dividend equivalents thereon), (3) 25.70 RSUs were issued as dividend equivalents on holder's unvested underling RSUs issued on September 30, 2019 (and dividend equivalents thereon) and (4) 31.34 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on December 31, 2019. In all cases, the dividend equivalent RSUs will vest concurrently with the vesting of the respective unvested underlying RSUs.

F11 · derivative.expiration_date: RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued quarterly in 2019 as follows: (1) 20.77 RSUs were issued as dividend equivalents on holder's unvested underling RSUs issued on March 29, 2019 (and dividend equivalents thereon), (2) 24.74 RSUs were issued as dividend equivalents on holder's unvested underling RSUs issued on June 28, 2019 (and dividend equivalents thereon), (3) 25.70 RSUs were issued as dividend equivalents on holder's unvested underling RSUs issued on September 30, 2019 (and dividend equivalents thereon) and (4) 31.34 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on December 31, 2019. In all cases, the dividend equivalent RSUs will vest concurrently with the vesting of the respective unvested underlying RSUs.

SEC source: 0001209191-20-062824 · doc4.xml · derivative · entry 10

Cantor Eric · CIK 0001618434 · Director · Vice Chairman, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,923.71

Underlying: Class A Common Stock · 327.49 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F10 · derivative.exercise_date: RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on February 14, 2019 (and dividend equivalents issued thereon). The dividend equivalent RSUs will vest concurrently with the vesting of the unvested underlying RSUs.

F10 · derivative.expiration_date: RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on February 14, 2019 (and dividend equivalents issued thereon). The dividend equivalent RSUs will vest concurrently with the vesting of the unvested underlying RSUs.

SEC source: 0001209191-20-062824 · doc4.xml · derivative · entry 9

Cantor Eric · CIK 0001618434 · Director · Vice Chairman, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,721.94

Underlying: Class A Common Stock · 64.89 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F9 · derivative.exercise_date: RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued quarterly in 2018 as follows: (1) 14.39 RSUs were issued as dividend equivalents on holder's unvested underling RSUs issued on March 29, 2018 (and dividend equivalents thereon), (2) 11.85 RSUs were issued as dividend equivalents on holder's unvested underling RSUs issued on June 29, 2018 (and dividend equivalents thereon) (3) 12.09 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on September 28, 2018 and (4) 26.56 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on December 31, 2018. In all cases, the dividend equivalent RSUs will vest concurrently with the vesting of the respective unvested underlying RSUs.

F9 · derivative.expiration_date: RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued quarterly in 2018 as follows: (1) 14.39 RSUs were issued as dividend equivalents on holder's unvested underling RSUs issued on March 29, 2018 (and dividend equivalents thereon), (2) 11.85 RSUs were issued as dividend equivalents on holder's unvested underling RSUs issued on June 29, 2018 (and dividend equivalents thereon) (3) 12.09 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on September 28, 2018 and (4) 26.56 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on December 31, 2018. In all cases, the dividend equivalent RSUs will vest concurrently with the vesting of the respective unvested underlying RSUs.

SEC source: 0001209191-20-062824 · doc4.xml · derivative · entry 8

Cantor Eric · CIK 0001618434 · Director · Vice Chairman, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,156.89

Underlying: Class A Common Stock · 117.36 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F7 · derivative.exercise_date: RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on February 15, 2018 (and dividend equivalents issued thereon). The dividend equivalent RSUs will vest concurrently with the vesting of the unvested underlying RSUs.

F7 · derivative.expiration_date: RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on February 15, 2018 (and dividend equivalents issued thereon). The dividend equivalent RSUs will vest concurrently with the vesting of the unvested underlying RSUs.

SEC source: 0001209191-20-062824 · doc4.xml · derivative · entry 7

Cantor Eric · CIK 0001618434 · Director · Vice Chairman, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,475.99

Underlying: Class A Common Stock · 139.75 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F8 · derivative.exercise_date: RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on March 31, 2017 (and dividend equivalents subsequently issued thereon). The dividend equivalent RSUs will vest concurrently with the vesting of the unvested underlying RSUs.

F8 · derivative.expiration_date: RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on March 31, 2017 (and dividend equivalents subsequently issued thereon). The dividend equivalent RSUs will vest concurrently with the vesting of the unvested underlying RSUs.

SEC source: 0001209191-20-062824 · doc4.xml · derivative · entry 6

Cantor Eric · CIK 0001618434 · Director · Vice Chairman, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,508.13

Underlying: Class A Common Stock · 169.02 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F7 · derivative.exercise_date: RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on February 15, 2018 (and dividend equivalents issued thereon). The dividend equivalent RSUs will vest concurrently with the vesting of the unvested underlying RSUs.

F7 · derivative.expiration_date: RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on February 15, 2018 (and dividend equivalents issued thereon). The dividend equivalent RSUs will vest concurrently with the vesting of the unvested underlying RSUs.

SEC source: 0001209191-20-062824 · doc4.xml · derivative · entry 5

Cantor Eric · CIK 0001618434 · Director · Vice Chairman, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,565.29

Underlying: Class A Common Stock · 53.72 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F6 · derivative.exercise_date: RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued quarterly in 2017 as follows: (1) 13.97 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on March 31, 2017 (and dividend equivalents thereon), (2) 13.08 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued June 30, 2017 (and dividend equivalents thereon) and (3) 11.64 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on September 30, 2017 (and dividend equivalents thereon), and (4) 15.03 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on December 29, 2017. In all cases, the dividend equivalent RSUs will vest concurrently with the vesting of the respective unvested underlying RSUs.

F6 · derivative.expiration_date: RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued quarterly in 2017 as follows: (1) 13.97 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on March 31, 2017 (and dividend equivalents thereon), (2) 13.08 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued June 30, 2017 (and dividend equivalents thereon) and (3) 11.64 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on September 30, 2017 (and dividend equivalents thereon), and (4) 15.03 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on December 29, 2017. In all cases, the dividend equivalent RSUs will vest concurrently with the vesting of the respective unvested underlying RSUs.

SEC source: 0001209191-20-062824 · doc4.xml · derivative · entry 4

Cantor Eric · CIK 0001618434 · Director · Vice Chairman, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,188.73

Underlying: Class A Common Stock · 69.4 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F5 · derivative.exercise_date: RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on February 23, 2017 (and dividend equivalents subsequently issued thereon). The dividend equivalent RSUs will vest concurrently with the vesting of the unvested underlying RSUs.

F5 · derivative.expiration_date: RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on February 23, 2017 (and dividend equivalents subsequently issued thereon). The dividend equivalent RSUs will vest concurrently with the vesting of the unvested underlying RSUs.

SEC source: 0001209191-20-062824 · doc4.xml · derivative · entry 3

Cantor Eric · CIK 0001618434 · Director · Vice Chairman, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,967.52

Underlying: Class A Common Stock · 47.95 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F4 · derivative.exercise_date: RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued quarterly in 2016 as follows: (1) 10.20 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on March 31, 2016 (and dividend equivalents subsequently issued thereon), (2) 11.81 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on June 30, 2016 (and dividend equivalents subsequently issued thereon), (3) 10.49 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on September 30, 2016 (and dividend equivalents subsequently issued thereon), and (4) 15.45 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on December 30, 2016 (and dividend equivalents subsequently issued thereon). In all cases, the dividend equivalent RSUs will vest concurrently with the vesting of the respective unvested underlying RSUs.

F4 · derivative.expiration_date: RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued quarterly in 2016 as follows: (1) 10.20 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on March 31, 2016 (and dividend equivalents subsequently issued thereon), (2) 11.81 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on June 30, 2016 (and dividend equivalents subsequently issued thereon), (3) 10.49 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on September 30, 2016 (and dividend equivalents subsequently issued thereon), and (4) 15.45 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on December 30, 2016 (and dividend equivalents subsequently issued thereon). In all cases, the dividend equivalent RSUs will vest concurrently with the vesting of the respective unvested underlying RSUs.

SEC source: 0001209191-20-062824 · doc4.xml · derivative · entry 2

Cantor Eric · CIK 0001618434 · Director · Vice Chairman, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,971.13

Underlying: Class A Common Stock · 57.64 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F3 · derivative.exercise_date: RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on February 24, 2016 (and dividend equivalents subsequently issued thereon). The dividend equivalent RSUs will vest concurrently with the vesting of the unvested underlying RSUs.

F3 · derivative.expiration_date: RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on February 24, 2016 (and dividend equivalents subsequently issued thereon). The dividend equivalent RSUs will vest concurrently with the vesting of the unvested underlying RSUs.

SEC source: 0001209191-20-062824 · doc4.xml · derivative · entry 1

Cantor Eric · CIK 0001618434 · Director · Vice Chairman, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,761.98

Underlying: Class A Common Stock · 17.01 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F2 · derivative.exercise_date: RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued quarterly in 2015 as follows: (1) 17.01 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on December 31, 2015 (and dividend equivalents thereon). In all cases, the dividend equivalent RSUs will vest concurrently with the vesting of the respective unvested underlying RSUs.

F2 · derivative.expiration_date: RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued quarterly in 2015 as follows: (1) 17.01 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on December 31, 2015 (and dividend equivalents thereon). In all cases, the dividend equivalent RSUs will vest concurrently with the vesting of the respective unvested underlying RSUs.

SEC source: 0001209191-20-062822 · doc4.xml · derivative · entry 4

Callesano Christopher · CIK 0001681752 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,727.2

Underlying: Class A Common Stock · 26.33 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F5 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on February 13, 2020 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

F5 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on February 13, 2020 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

SEC source: 0001209191-20-062822 · doc4.xml · derivative · entry 3

Callesano Christopher · CIK 0001681752 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,787.3

Underlying: Class A Common Stock · 17.25 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F4 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on February 14, 2019 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

F4 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on February 14, 2019 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

SEC source: 0001209191-20-062822 · doc4.xml · derivative · entry 2

Callesano Christopher · CIK 0001681752 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,137.47

Underlying: Class A Common Stock · 10.98 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F3 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on February 15, 2018 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

F3 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on February 15, 2018 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

SEC source: 0001209191-20-062822 · doc4.xml · derivative · entry 1

Callesano Christopher · CIK 0001681752 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 821.88

Underlying: Class A Common Stock · 7.93 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

F2 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on February 23, 2017 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

F2 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on February 23, 2017 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

SEC source: 0001209191-20-057787 · doc4.xml · nonDerivative · entry 1

SIMON JOSEPH · CIK 0001604693 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001209191-20-057363 · doc4.xml · nonDerivative · entry 4

SIMON JOSEPH · CIK 0001604693 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,984

SEC source: 0001209191-20-057363 · doc4.xml · nonDerivative · entry 3

SIMON JOSEPH · CIK 0001604693 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,046

SEC source: 0001209191-20-057363 · doc4.xml · nonDerivative · entry 2

SIMON JOSEPH · CIK 0001604693 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,918

SEC source: 0001209191-20-057363 · doc4.xml · nonDerivative · entry 1

SIMON JOSEPH · CIK 0001604693 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,518

SEC source: 0001209191-20-056372 · doc4.xml · derivative · entry 2

RAICH JEFFREY · CIK 0001604691 · Director · Co-President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock, par value $0.01 · 10 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · security: Partnership Interests are exchangeable for an equal number of Group Units. Each Group Unit is exchangeable for a share of Moelis & Company Class A common stock (subject to customary adjustments) or cash, at Group LP's option.

F1 · derivative.exercise_price: On October 30, 2020 certain of the holder's partnership interests ("Partnership Interests") in Moelis & Company Partner Holdings LP ("Partner Holdings") were exchanged for an equal number of Class A partnership units ("Group Units") in Moelis & Company Group LP ("Group LP") and the Group Units were exchanged for an equal number of shares of Moelis & Company Class A common stock. The exchanges were approved by the Company's board of directors under Rule 16b-3.

F1 · price: On October 30, 2020 certain of the holder's partnership interests ("Partnership Interests") in Moelis & Company Partner Holdings LP ("Partner Holdings") were exchanged for an equal number of Class A partnership units ("Group Units") in Moelis & Company Group LP ("Group LP") and the Group Units were exchanged for an equal number of shares of Moelis & Company Class A common stock. The exchanges were approved by the Company's board of directors under Rule 16b-3.

F3 · derivative.exercise_date: Pursuant to Group LP's agreement of limited partnership, Group Units held by the reporting person are not exchangeable for Moelis & Company Class A common stock until the expiration or waiver of certain lockup periods, commencing on the fourth anniversary of the closing of the initial public offering of Moelis & Company Class A common stock. The form of Group LP's agreement of limited partnership has been filed as an exhibit to Moelis & Company's registration statement on Form S-1 (File No. 333194306) dated April 8, 2014.

F3 · derivative.expiration_date: Pursuant to Group LP's agreement of limited partnership, Group Units held by the reporting person are not exchangeable for Moelis & Company Class A common stock until the expiration or waiver of certain lockup periods, commencing on the fourth anniversary of the closing of the initial public offering of Moelis & Company Class A common stock. The form of Group LP's agreement of limited partnership has been filed as an exhibit to Moelis & Company's registration statement on Form S-1 (File No. 333194306) dated April 8, 2014.

SEC source: 0001209191-20-056372 · doc4.xml · nonDerivative · entry 1

RAICH JEFFREY · CIK 0001604691 · Director · Co-President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On October 30, 2020 certain of the holder's partnership interests ("Partnership Interests") in Moelis & Company Partner Holdings LP ("Partner Holdings") were exchanged for an equal number of Class A partnership units ("Group Units") in Moelis & Company Group LP ("Group LP") and the Group Units were exchanged for an equal number of shares of Moelis & Company Class A common stock. The exchanges were approved by the Company's board of directors under Rule 16b-3.

SEC source: 0001209191-20-056370 · doc4.xml · derivative · entry 1

MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,948,750

Underlying: Class A Common Stock, par value $0.01 · 0 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: 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 · security: 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.

F2 · derivative.exercise_price: 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.

F2 · kind: 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.

F1 · price: 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 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001209191-20-056368 · doc4.xml · derivative · entry 2

MAHMOODZADEGAN NAVID · CIK 0001604685 · Director · Co-President, MD

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 0

Underlying: Class A Common Stock, par value $0.01 · 10 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · security: Partnership Interests are exchangeable for an equal number of Group Units. Each Group Unit is exchangeable for a share of Moelis & Company Class A common stock (subject to customary adjustments) or cash, at Group LP's option.

F2 · derivative.exercise_price: On October 30, 2020 certain of the holder's partnership interests ("Partnership Interests") in Moelis & Company Partner Holdings LP ("Partner Holdings") were exchanged for an equal number of Class A partnership units ("Group Units") in Moelis & Company Group LP ("Group LP") and the Group Units were exchanged for an equal number of shares of Moelis & Company Class A common stock. The exchanges were approved by the Company's board of directors under Rule 16b-3.

F2 · price: On October 30, 2020 certain of the holder's partnership interests ("Partnership Interests") in Moelis & Company Partner Holdings LP ("Partner Holdings") were exchanged for an equal number of Class A partnership units ("Group Units") in Moelis & Company Group LP ("Group LP") and the Group Units were exchanged for an equal number of shares of Moelis & Company Class A common stock. The exchanges were approved by the Company's board of directors under Rule 16b-3.

F4 · derivative.exercise_date: Pursuant to Group LP's agreement of limited partnership, Group Units held by the reporting person are not exchangeable for Moelis & Company Class A common stock until the expiration or waiver of certain lockup periods, commencing on the fourth anniversary of the closing of the initial public offering of Moelis & Company Class A common stock. The form of Group LP's agreement of limited partnership has been filed as an exhibit to Moelis & Company's registration statement on Form S-1 (File No. 333194306) dated April 8, 2014.

F4 · derivative.expiration_date: Pursuant to Group LP's agreement of limited partnership, Group Units held by the reporting person are not exchangeable for Moelis & Company Class A common stock until the expiration or waiver of certain lockup periods, commencing on the fourth anniversary of the closing of the initial public offering of Moelis & Company Class A common stock. The form of Group LP's agreement of limited partnership has been filed as an exhibit to Moelis & Company's registration statement on Form S-1 (File No. 333194306) dated April 8, 2014.

F1 · ownership.nature: Represents transaction by Mahmoodzadegan-Gappy Trust, of which Mr. Mahmoodzadegan is a beneficiary. Mr. Mahmoodzadegan shares voting and dispositive power over the assets of the trust.