MC

SEC source: 0001209191-20-056368 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

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 · security: 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.

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.

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.

SEC source: 0001209191-20-056266 · doc4.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,636.64

Underlying: Class A Common Stock · 658.08 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: The RSUs were settled for Class A common stock on October 28, 2020.

F2 · derivative.exercise_price: The RSUs were settled for Class A common stock on October 28, 2020.

F2 · derivative.exercise_date: The RSUs were settled for Class A common stock on October 28, 2020.

F2 · derivative.expiration_date: The RSUs were settled for Class A common stock on October 28, 2020.

SEC source: 0001209191-20-056266 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,240.57

Underlying: Class A Common Stock · 413.52 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: The RSUs were settled for Class A common stock on October 28, 2020.

F2 · derivative.exercise_price: The RSUs were settled for Class A common stock on October 28, 2020.

F2 · derivative.exercise_date: The RSUs were settled for Class A common stock on October 28, 2020.

F2 · derivative.expiration_date: The RSUs were settled for Class A common stock on October 28, 2020.

SEC source: 0001209191-20-056266 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,194.25

Underlying: Class A Common Stock · 595.85 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: The RSUs were settled for Class A common stock on October 28, 2020.

F2 · derivative.exercise_price: The RSUs were settled for Class A common stock on October 28, 2020.

F2 · derivative.exercise_date: The RSUs were settled for Class A common stock on October 28, 2020.

F2 · derivative.expiration_date: The RSUs were settled for Class A common stock on October 28, 2020.

SEC source: 0001209191-20-056266 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,076.47

Underlying: Class A Common Stock · 1,076.47 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: The RSUs were settled for Class A common stock on October 28, 2020.

F2 · derivative.exercise_price: The RSUs were settled for Class A common stock on October 28, 2020.

F2 · derivative.exercise_date: The RSUs were settled for Class A common stock on October 28, 2020.

F2 · derivative.expiration_date: The RSUs were settled for Class A common stock on October 28, 2020.

SEC source: 0001209191-20-056266 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 1,876.95 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: The RSUs were settled for Class A common stock on October 28, 2020.

F2 · derivative.exercise_price: The RSUs were settled for Class A common stock on October 28, 2020.

F2 · derivative.exercise_date: The RSUs were settled for Class A common stock on October 28, 2020.

F2 · derivative.expiration_date: The RSUs were settled for Class A common stock on October 28, 2020.

SEC source: 0001209191-20-056266 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,406

SEC source: 0001209191-20-056266 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,503.87

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: Shares of Class A Common Stock were acquired upon settlement of Restricted Stock Units (RSUs).

SEC source: 0001209191-20-056272 · doc4.xml · derivative · entry 9

RAICH JEFFREY · CIK 0001604691 · 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 · 54,802 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.

F4 · 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 27, 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 27, 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.

F5 · 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.

F5 · 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.

F3 · ownership.nature: Represents transaction by Raich 2010 Irrevocable Trust. Mr. Raich may have indirect voting power and dispositive power over the assets of the trust as a result of his relationship to the trustee.

SEC source: 0001209191-20-056272 · doc4.xml · derivative · entry 8

RAICH JEFFREY · CIK 0001604691 · 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 · 578,298 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.

F4 · 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 27, 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 27, 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.

F5 · 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.

F5 · 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.

F2 · ownership.nature: Represents transaction by Raich Trust, of which Mr. Raich is a beneficiary. Mr. Raich shares voting and dispositive power over the assets of the trust.

SEC source: 0001209191-20-056272 · doc4.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10

Underlying: Class A Common Stock, par value $0.01 · 354 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.

F4 · 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 27, 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 27, 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.

F5 · 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.

F5 · 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: 0001209191-20-056272 · doc4.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 0

F3 · security: Represents transaction by Raich 2010 Irrevocable Trust. Mr. Raich may have indirect voting power and dispositive power over the assets of the trust as a result of his relationship to the trustee.

F3 · ownership.nature: Represents transaction by Raich 2010 Irrevocable Trust. Mr. Raich may have indirect voting power and dispositive power over the assets of the trust as a result of his relationship to the trustee.

SEC source: 0001209191-20-056272 · doc4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 0

F2 · security: Represents transaction by Raich Trust, of which Mr. Raich is a beneficiary. Mr. Raich shares voting and dispositive power over the assets of the trust.

F2 · ownership.nature: Represents transaction by Raich Trust, of which Mr. Raich is a beneficiary. Mr. Raich shares voting and dispositive power over the assets of the trust.

SEC source: 0001209191-20-056272 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001209191-20-056272 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 54,802

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: Represents transaction by Raich 2010 Irrevocable Trust. Mr. Raich may have indirect voting power and dispositive power over the assets of the trust as a result of his relationship to the trustee.

F1 · price: On October 27, 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 · ownership.nature: Represents transaction by Raich 2010 Irrevocable Trust. Mr. Raich may have indirect voting power and dispositive power over the assets of the trust as a result of his relationship to the trustee.

SEC source: 0001209191-20-056272 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 578,298

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: Represents transaction by Raich Trust, of which Mr. Raich is a beneficiary. Mr. Raich shares voting and dispositive power over the assets of the trust.

F1 · price: On October 27, 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 · ownership.nature: Represents transaction by Raich Trust, of which Mr. Raich is a beneficiary. Mr. Raich shares voting and dispositive power over the assets of the trust.

SEC source: 0001209191-20-056272 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 354

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 27, 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: 0001209191-20-056268 · doc4.xml · derivative · entry 6

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 · 106,583 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.

F4 · 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 27, 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 27, 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.

F5 · 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.

F5 · 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.

F3 · ownership.nature: Represents transaction by Mahmoodzadegan-Gappy 2010 Irrevocable Trust. Mr. Mahmoodzadegan may have indirect voting power and dispositive power over the assets of the trust as a result of his relationship to the trustee.

SEC source: 0001209191-20-056268 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 10

Underlying: Class A Common Stock, par value $0.01 · 1,089,255 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.

F4 · 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 27, 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 27, 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.

F5 · 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.

F5 · 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.

SEC source: 0001209191-20-056268 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 0

F3 · security: Represents transaction by Mahmoodzadegan-Gappy 2010 Irrevocable Trust. Mr. Mahmoodzadegan may have indirect voting power and dispositive power over the assets of the trust as a result of his relationship to the trustee.

F3 · ownership.nature: Represents transaction by Mahmoodzadegan-Gappy 2010 Irrevocable Trust. Mr. Mahmoodzadegan may have indirect voting power and dispositive power over the assets of the trust as a result of his relationship to the trustee.

SEC source: 0001209191-20-056268 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 0

F1 · security: 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.

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.

SEC source: 0001209191-20-056268 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 106,583

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: Represents transaction by Mahmoodzadegan-Gappy 2010 Irrevocable Trust. Mr. Mahmoodzadegan may have indirect voting power and dispositive power over the assets of the trust as a result of his relationship to the trustee.

F2 · price: On October 27, 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 · ownership.nature: Represents transaction by Mahmoodzadegan-Gappy 2010 Irrevocable Trust. Mr. Mahmoodzadegan may have indirect voting power and dispositive power over the assets of the trust as a result of his relationship to the trustee.

SEC source: 0001209191-20-056268 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 1,089,255

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: 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.

F2 · price: On October 27, 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 · 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.

SEC source: 0001209191-20-056270 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,948,820

Underlying: Class A Common Stock, par value $0.01 · 1,406 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: 0001209191-20-056270 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,790

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 · kind: 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.

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.

SEC source: 0001209191-20-054746 · doc4.xml · nonDerivative · entry 1

CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,557

F1 · security: Class A Common Stock of Moelis & Company sold pursuant to a 10b5-1 plan.

SEC source: 0001209191-20-053344 · doc4.xml · nonDerivative · entry 3

CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 0

F1 · security: Class A Common Stock of Moelis & Company sold pursuant to a 10b5-1 plan.

SEC source: 0001209191-20-053344 · doc4.xml · nonDerivative · entry 2

CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,557

F1 · security: Class A Common Stock of Moelis & Company sold pursuant to a 10b5-1 plan.

SEC source: 0001209191-20-053336 · doc4.xml · nonDerivative · entry 3

ALLISON JOHN A · CIK 0001195160 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,370.88

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

F4 · price: 2020 Elective RSUs were issued as dividend equivalents on holder's underlying Elective RSUs issued on July 1, 2020. The dividend equivalent Elective RSUs will vest concurrently with the vesting of the underlying Elective RSUs.

SEC source: 0001209191-20-053336 · doc4.xml · nonDerivative · entry 2

ALLISON JOHN A · CIK 0001195160 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,290.3

F1 · price: Each Annual 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: 0001209191-20-053336 · doc4.xml · nonDerivative · entry 1

ALLISON JOHN A · CIK 0001195160 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,270.87

F1 · price: Each Annual 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: 0001209191-20-053357 · doc4.xml · nonDerivative · entry 3

Shropshire Kenneth · CIK 0001358892 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 322.32

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

F4 · price: 2020 Elective RSUs were issued as dividend equivalents on holder's underlying Elective RSUs issued on July 1, 2020. The dividend equivalent Elective RSUs will vest concurrently with the vesting of the underlying Elective RSUs.

SEC source: 0001209191-20-053357 · doc4.xml · nonDerivative · entry 2

Shropshire Kenneth · CIK 0001358892 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,290.3

F1 · price: Each Annual 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: 0001209191-20-053357 · doc4.xml · nonDerivative · entry 1

Shropshire Kenneth · CIK 0001358892 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,270.87

F1 · price: Each Annual 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: 0001209191-20-053361 · doc4.xml · derivative · entry 5

WATANABE OSAMU R. · CIK 0001604471 · General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,208.42

Underlying: Class A Common Stock · 116.77 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 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 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: 0001209191-20-053361 · doc4.xml · derivative · entry 4

WATANABE OSAMU R. · CIK 0001604471 · General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,572.94

Underlying: Class A Common Stock · 76.17 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 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: 0001209191-20-053361 · doc4.xml · derivative · entry 3

WATANABE OSAMU R. · CIK 0001604471 · General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,731.02

Underlying: Class A Common Stock · 55.7 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 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 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: 0001209191-20-053361 · doc4.xml · derivative · entry 2

WATANABE OSAMU R. · CIK 0001604471 · General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,406.46

Underlying: Class A Common Stock · 46.15 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: 0001209191-20-053361 · doc4.xml · derivative · entry 1

WATANABE OSAMU R. · CIK 0001604471 · General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,672.64

Underlying: Class A Common Stock · 33.66 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: 0001209191-20-053359 · doc4.xml · derivative · entry 5

SIMON JOSEPH · CIK 0001604693 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,419.37

Underlying: Class A Common Stock · 197.54 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 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: 0001209191-20-053359 · doc4.xml · derivative · entry 4

SIMON JOSEPH · CIK 0001604693 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,303.34

Underlying: Class A Common Stock · 117.46 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 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: 0001209191-20-053359 · doc4.xml · derivative · entry 3

SIMON JOSEPH · CIK 0001604693 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,209.15

Underlying: Class A Common Stock · 87.96 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 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 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: 0001209191-20-053359 · doc4.xml · derivative · entry 2

SIMON JOSEPH · CIK 0001604693 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,826.73

Underlying: Class A Common Stock · 63.59 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: 0001209191-20-053359 · doc4.xml · derivative · entry 1

SIMON JOSEPH · CIK 0001604693 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,623.56

Underlying: Class A Common Stock · 47.72 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: 0001209191-20-053355 · doc4.xml · nonDerivative · entry 2

Richardson Yolonda C · CIK 0001763524 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,290.3

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: 0001209191-20-053355 · doc4.xml · nonDerivative · entry 1

Richardson Yolonda C · CIK 0001763524 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,270.87

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: 0001209191-20-053353 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,887.11

Underlying: Class A Common Stock · 496.29 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: 0001209191-20-053353 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,358.88

Underlying: Class A Common Stock · 384.42 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: 0001209191-20-053353 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,963.53

Underlying: Class A Common Stock · 432 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: 0001209191-20-053353 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,119.74

Underlying: Class A Common Stock · 353.88 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.