MC

SEC source: 0001209191-20-040800 · doc4.xml · derivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,952.8

Underlying: Class A Common Stock · 97.02 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: 0001209191-20-040800 · doc4.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,232.96

Underlying: Class A Common Stock · 115.53 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: 0001209191-20-040800 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,214.19

Underlying: Class A Common Stock · 139.73 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: 0001209191-20-040800 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,729.73

Underlying: Class A Common Stock · 54.63 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) 11.55 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on March 31, 2017 (and dividend equivalents thereon), (2) 16.23 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued June 30, 2017 (and dividend equivalents thereon) and (3) 14.43 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on September 30, 2017 (and dividend equivalents thereon), and (4) 12.42 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) 11.55 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on March 31, 2017 (and dividend equivalents thereon), (2) 16.23 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued June 30, 2017 (and dividend equivalents thereon) and (3) 14.43 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on September 30, 2017 (and dividend equivalents thereon), and (4) 12.42 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: 0001209191-20-040800 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,068.04

Underlying: Class A Common Stock · 57.37 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: 0001209191-20-040800 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,153.97

Underlying: Class A Common Stock · 58.07 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) 8.44 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on March 31, 2016 (and dividend equivalents subsequently issued thereon), (2) 19.51 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on June 30, 2016 (and dividend equivalents subsequently issued thereon), (3) 17.35 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) 12.77 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) 8.44 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on March 31, 2016 (and dividend equivalents subsequently issued thereon), (2) 19.51 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on June 30, 2016 (and dividend equivalents subsequently issued thereon), (3) 17.35 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) 12.77 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: 0001209191-20-040800 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,870.88

Underlying: Class A Common Stock · 47.65 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: 0001209191-20-040800 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,342.29

Underlying: Class A Common Stock · 43.36 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.

F2 · derivative.exercise_date: RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued quarterly in 2015 as follows: (1) 14.18 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on June 30, 2015 (and dividend equivalents thereon), (2) 15.13 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on September 30, 2015 (and dividend equivalents thereon) and (3) 14.06 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) 14.18 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on June 30, 2015 (and dividend equivalents thereon), (2) 15.13 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on September 30, 2015 (and dividend equivalents thereon) and (3) 14.06 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: 0001209191-20-040798 · doc4.xml · derivative · entry 4

Callesano Christopher · CIK 0001681752 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,681.42

Underlying: Class A Common Stock · 21.77 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.

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: 0001209191-20-040798 · doc4.xml · derivative · entry 3

Callesano Christopher · CIK 0001681752 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,757.29

Underlying: Class A Common Stock · 14.26 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: 0001209191-20-040798 · doc4.xml · derivative · entry 2

Callesano Christopher · CIK 0001681752 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,118.37

Underlying: Class A Common Stock · 9.08 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: 0001209191-20-040798 · doc4.xml · derivative · entry 1

Callesano Christopher · CIK 0001681752 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 808.08

Underlying: Class A Common Stock · 6.56 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 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: 0001209191-20-033050 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · balance_after: This number excludes (i) 450,322 unvested RSUs granted to Mr. Mahmoodzadegan as incentive compensation for fiscal years 2015 through 2019 and (ii) 1,195,848 shares of Class A Common Stock issuable in exchange for Moelis & Group LP Class A partnership units held by certain trusts, of which Mr. Mahmoodzadegan or his immediate family members are beneficiaries. The unvested RSUs represent the right to receive upon settlement either, at Moelis & Company's option, a share of Class A Common Stock or an amount in cash equal to the fair market value of such share. The vesting schedule applicable to these unvested RSUs can be found on the Form 4s previously filed in connection with the grant of such RSUs.

SEC source: 0001209191-20-031068 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · balance_after: This number excludes (i) 257,497 unvested RSUs granted to Mr. Raich as incentive compensation for fiscal years 2015 through 2019 and (ii) 633,464 shares of Class A Common Stock issuable in exchange for Moelis & Group LP Class A partnership units held by certain trusts, of which Mr. Raich or his immediate family members are beneficiaries. The unvested RSUs represent the right to receive upon settlement either, at Moelis & Company's option, a share of Class A Common Stock or an amount in cash equal to the fair market value of such share. The vesting schedule applicable to these unvested RSUs can be found on the Form 4s previously filed in connection with the grant of such RSUs.

SEC source: 0001209191-20-031068 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,838

F1 · balance_after: This number excludes (i) 257,497 unvested RSUs granted to Mr. Raich as incentive compensation for fiscal years 2015 through 2019 and (ii) 633,464 shares of Class A Common Stock issuable in exchange for Moelis & Group LP Class A partnership units held by certain trusts, of which Mr. Raich or his immediate family members are beneficiaries. The unvested RSUs represent the right to receive upon settlement either, at Moelis & Company's option, a share of Class A Common Stock or an amount in cash equal to the fair market value of such share. The vesting schedule applicable to these unvested RSUs can be found on the Form 4s previously filed in connection with the grant of such RSUs.

SEC source: 0001209191-20-031068 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,338

F1 · balance_after: This number excludes (i) 257,497 unvested RSUs granted to Mr. Raich as incentive compensation for fiscal years 2015 through 2019 and (ii) 633,464 shares of Class A Common Stock issuable in exchange for Moelis & Group LP Class A partnership units held by certain trusts, of which Mr. Raich or his immediate family members are beneficiaries. The unvested RSUs represent the right to receive upon settlement either, at Moelis & Company's option, a share of Class A Common Stock or an amount in cash equal to the fair market value of such share. The vesting schedule applicable to these unvested RSUs can be found on the Form 4s previously filed in connection with the grant of such RSUs.

SEC source: 0001209191-20-028678 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,646

F1 · balance_after: This number excludes (i) 257,497 unvested RSUs granted to Mr. Raich as incentive compensation for fiscal years 2015 through 2019 and (ii) 633,464 shares of Class A Common Stock issuable in exchange for Moelis & Group LP Class A partnership units held by certain trusts, of which Mr. Raich or his immediate family members are beneficiaries. The unvested RSUs represent the right to receive upon settlement either, at Moelis & Company's option, a share of Class A Common Stock or an amount in cash equal to the fair market value of such share. The vesting schedule applicable to these unvested RSUs can be found on the Form 4s previously filed in connection with the grant of such RSUs.

SEC source: 0001209191-20-028678 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,046

F1 · balance_after: This number excludes (i) 257,497 unvested RSUs granted to Mr. Raich as incentive compensation for fiscal years 2015 through 2019 and (ii) 633,464 shares of Class A Common Stock issuable in exchange for Moelis & Group LP Class A partnership units held by certain trusts, of which Mr. Raich or his immediate family members are beneficiaries. The unvested RSUs represent the right to receive upon settlement either, at Moelis & Company's option, a share of Class A Common Stock or an amount in cash equal to the fair market value of such share. The vesting schedule applicable to these unvested RSUs can be found on the Form 4s previously filed in connection with the grant of such RSUs.

SEC source: 0001209191-20-028678 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,046

F1 · balance_after: This number excludes (i) 257,497 unvested RSUs granted to Mr. Raich as incentive compensation for fiscal years 2015 through 2019 and (ii) 633,464 shares of Class A Common Stock issuable in exchange for Moelis & Group LP Class A partnership units held by certain trusts, of which Mr. Raich or his immediate family members are beneficiaries. The unvested RSUs represent the right to receive upon settlement either, at Moelis & Company's option, a share of Class A Common Stock or an amount in cash equal to the fair market value of such share. The vesting schedule applicable to these unvested RSUs can be found on the Form 4s previously filed in connection with the grant of such RSUs.

SEC source: 0001209191-20-026641 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,655,509

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: 0001209191-20-026639 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131

SEC source: 0001209191-20-026022 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,655,699

Underlying: Class A Common Stock, par value $0.01 · 963 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: 0001209191-20-026022 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,293

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: 0001209191-20-026020 · doc4.xml · derivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,098.21

Underlying: Class A Common Stock · 523.74 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 April 24, 2020.

F2 · derivative.exercise_price: The RSUs were settled for Class A common stock on April 24, 2020.

F2 · derivative.exercise_date: The RSUs were settled for Class A common stock on April 24, 2020.

F2 · derivative.expiration_date: The RSUs were settled for Class A common stock on April 24, 2020.

SEC source: 0001209191-20-026020 · doc4.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,453.15

Underlying: Class A Common Stock · 483.98 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 April 24, 2020.

F2 · derivative.exercise_price: The RSUs were settled for Class A common stock on April 24, 2020.

F2 · derivative.exercise_date: The RSUs were settled for Class A common stock on April 24, 2020.

F2 · derivative.expiration_date: The RSUs were settled for Class A common stock on April 24, 2020.

SEC source: 0001209191-20-026020 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,411.48

Underlying: Class A Common Stock · 705.74 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 April 24, 2020.

F2 · derivative.exercise_price: The RSUs were settled for Class A common stock on April 24, 2020.

F2 · derivative.exercise_date: The RSUs were settled for Class A common stock on April 24, 2020.

F2 · derivative.expiration_date: The RSUs were settled for Class A common stock on April 24, 2020.

SEC source: 0001209191-20-026020 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,117.44

Underlying: Class A Common Stock · 7,057.4 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 April 24, 2020.

F2 · derivative.exercise_price: The RSUs were settled for Class A common stock on April 24, 2020.

F2 · derivative.exercise_date: The RSUs were settled for Class A common stock on April 24, 2020.

F2 · derivative.expiration_date: The RSUs were settled for Class A common stock on April 24, 2020.

SEC source: 0001209191-20-026020 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,031.06

Underlying: Class A Common Stock · 1,031.06 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 April 24, 2020.

F2 · derivative.exercise_price: The RSUs were settled for Class A common stock on April 24, 2020.

F2 · derivative.exercise_date: The RSUs were settled for Class A common stock on April 24, 2020.

F2 · derivative.expiration_date: The RSUs were settled for Class A common stock on April 24, 2020.

SEC source: 0001209191-20-026020 · 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 · 1,676.73 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 April 24, 2020.

F2 · derivative.exercise_price: The RSUs were settled for Class A common stock on April 24, 2020.

F2 · derivative.exercise_date: The RSUs were settled for Class A common stock on April 24, 2020.

F2 · derivative.expiration_date: The RSUs were settled for Class A common stock on April 24, 2020.

SEC source: 0001209191-20-026020 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,371

SEC source: 0001209191-20-026020 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,640.65

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: 0001209191-20-021928 · doc4.xml · nonDerivative · entry 3

ALLISON JOHN A · CIK 0001195160 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,298.04

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

F4 · price: 2019 Elective RSUs were issued as dividend equivalents on holder's underlying Elective RSUs issued on July 1, 2019. The dividend equivalent Elective RSUs will vest concurrently with the vesting of the underlying Elective RSUs.

SEC source: 0001209191-20-021928 · doc4.xml · nonDerivative · entry 2

ALLISON JOHN A · CIK 0001195160 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,251.48

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

F3 · 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: 0001209191-20-021928 · doc4.xml · nonDerivative · entry 1

ALLISON JOHN A · CIK 0001195160 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 802.99

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

F2 · price: 2018 Annual RSUs were issued as dividend equivalents on holder's underlying Annual RSUs issued on July 2, 2018. The dividend equivalent Annual RSUs will vest concurrently with the vesting of the underlying Annual RSUs.

SEC source: 0001209191-20-021958 · doc4.xml · nonDerivative · entry 3

Shropshire Kenneth · CIK 0001358892 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 610.76

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

F4 · price: 2019 Elective RSUs were issued as dividend equivalents on holder's underlying Elective RSUs issued on July 1, 2019. The dividend equivalent Elective RSUs will vest concurrently with the vesting of the underlying Elective RSUs.

SEC source: 0001209191-20-021958 · doc4.xml · nonDerivative · entry 2

Shropshire Kenneth · CIK 0001358892 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,251.48

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

F3 · 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: 0001209191-20-021958 · doc4.xml · nonDerivative · entry 1

Shropshire Kenneth · CIK 0001358892 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 802.99

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

F2 · price: 2018 Annual RSUs were issued as dividend equivalents on holder's underlying Initial RSUs issued on July 2, 2018. The dividend equivalent Annual RSUs will vest concurrently with the vesting of the underlying Annual RSUs.

SEC source: 0001209191-20-021962 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,961.03

Underlying: Class A Common Stock · 646.03 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: 0001209191-20-021962 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,411.57

Underlying: Class A Common Stock · 421.41 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: 0001209191-20-021962 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,613.03

Underlying: Class A Common Stock · 308.14 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: 0001209191-20-021962 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,308.67

Underlying: Class A Common Stock · 255.35 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: 0001209191-20-021962 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,601.32

Underlying: Class A Common Stock · 186.24 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: 0001209191-20-021960 · doc4.xml · derivative · entry 5

SIMON JOSEPH · CIK 0001604693 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,000.87

Underlying: Class A Common Stock · 1,092.87 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: 0001209191-20-021960 · doc4.xml · derivative · entry 4

SIMON JOSEPH · CIK 0001604693 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,054.5

Underlying: Class A Common Stock · 649.81 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: 0001209191-20-021960 · doc4.xml · derivative · entry 3

SIMON JOSEPH · CIK 0001604693 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,022.8

Underlying: Class A Common Stock · 486.63 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: 0001209191-20-021960 · doc4.xml · derivative · entry 2

SIMON JOSEPH · CIK 0001604693 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,692.01

Underlying: Class A Common Stock · 351.81 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: 0001209191-20-021960 · doc4.xml · derivative · entry 1

SIMON JOSEPH · CIK 0001604693 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,522.46

Underlying: Class A Common Stock · 264 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: 0001209191-20-021954 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,835.68

Underlying: Class A Common Stock · 2,745.68 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: 0001209191-20-021954 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,544.46

Underlying: Class A Common Stock · 2,126.76 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: 0001209191-20-021954 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,048.3

Underlying: Class A Common Stock · 2,390.01 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.

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.