MC

SEC source: 0001209191-20-021954 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,370.02

Underlying: Class A Common Stock · 1,957.8 shares

Expires not disclosed

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

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

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

SEC source: 0001209191-20-021954 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,698.54

Underlying: Class A Common Stock · 1,202.06 shares

Expires not disclosed

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

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

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

SEC source: 0001209191-20-021956 · doc4.xml · nonDerivative · entry 2

Richardson Yolonda C · CIK 0001763524 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,251.48

F1 · price: Each Initial 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: 0001209191-20-021956 · doc4.xml · nonDerivative · entry 1

Richardson Yolonda C · CIK 0001763524 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 661.74

F1 · price: Each Initial 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 January 2, 2019. The dividend equivalent Annual RSUs will vest concurrently with the vesting of the underlying Annual RSUs.

SEC source: 0001209191-20-021942 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 206,169.81

Underlying: Class A Common Stock · 8,344.81 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: 0001209191-20-021942 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,035.44

Underlying: Class A Common Stock · 4,332.31 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: 0001209191-20-021942 · doc4.xml · derivative · entry 3

MAHMOODZADEGAN NAVID · CIK 0001604685 · 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.

SEC source: 0001209191-20-021942 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,370.02

Underlying: Class A Common Stock · 1,957.8 shares

Expires not disclosed

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

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

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

SEC source: 0001209191-20-021942 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,698.54

Underlying: Class A Common Stock · 1,202.06 shares

Expires not disclosed

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

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

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

SEC source: 0001209191-20-021949 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,691.36

Underlying: Class A Common Stock · 5,168.36 shares

Expires not disclosed

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

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

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

SEC source: 0001209191-20-021949 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,925.18

Underlying: Class A Common Stock · 3,761.19 shares

Expires not disclosed

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

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

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

SEC source: 0001209191-20-021949 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,227.68

Underlying: Class A Common Stock · 575.87 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.

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

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

SEC source: 0001209191-20-021949 · doc4.xml · derivative · entry 3

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

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

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

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

SEC source: 0001209191-20-021949 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,370.02

Underlying: Class A Common Stock · 1,957.8 shares

Expires not disclosed

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

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

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

SEC source: 0001209191-20-021949 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,750.65

Underlying: Class A Common Stock · 1,932.73 shares

Expires not disclosed

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

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

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

SEC source: 0001209191-20-021938 · doc4.xml · derivative · entry 5

CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,908.36

Underlying: Class A Common Stock · 1,534.36 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.

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: 0001209191-20-021938 · doc4.xml · derivative · entry 4

CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,293.28

Underlying: Class A Common Stock · 740.43 shares

Expires not disclosed

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

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

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

SEC source: 0001209191-20-021938 · doc4.xml · derivative · entry 3

CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,227.68

Underlying: Class A Common Stock · 575.87 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: 0001209191-20-021938 · doc4.xml · derivative · entry 2

CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,814.66

Underlying: Class A Common Stock · 397.25 shares

Expires not disclosed

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

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

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

SEC source: 0001209191-20-021938 · doc4.xml · derivative · entry 1

CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,104.92

Underlying: Class A Common Stock · 287.57 shares

Expires not disclosed

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

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

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

SEC source: 0001209191-20-021933 · doc4.xml · derivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,243.44

Underlying: Class A Common Stock · 1,507.44 shares

Expires not disclosed

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

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

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

SEC source: 0001209191-20-021933 · doc4.xml · derivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,155.85

Underlying: Class A Common Stock · 492.01 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.

F11 · derivative.exercise_date: RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued quarterly in 2019 as follows: (1) 106.13 RSUs were issued as dividend equivalents on holder's unvested underling RSUs issued on March 29, 2019 (and dividend equivalents thereon), (2) 126.42 RSUs were issued as dividend equivalents on holder's unvested underling RSUs issued on June 28, 2019 (and dividend equivalents thereon), (3) 131.32 RSUs were issued as dividend equivalents on holder's unvested underling RSUs issued on September 30, 2019 (and dividend equivalents thereon) and (4) 128.15 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on December 31, 2019. In all cases, the dividend equivalent RSUs will vest concurrently with the vesting of the respective unvested underlying RSUs.

F11 · derivative.expiration_date: RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued quarterly in 2019 as follows: (1) 106.13 RSUs were issued as dividend equivalents on holder's unvested underling RSUs issued on March 29, 2019 (and dividend equivalents thereon), (2) 126.42 RSUs were issued as dividend equivalents on holder's unvested underling RSUs issued on June 28, 2019 (and dividend equivalents thereon), (3) 131.32 RSUs were issued as dividend equivalents on holder's unvested underling RSUs issued on September 30, 2019 (and dividend equivalents thereon) and (4) 128.15 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on December 31, 2019. In all cases, the dividend equivalent RSUs will vest concurrently with the vesting of the respective unvested underlying RSUs.

SEC source: 0001209191-20-021933 · doc4.xml · derivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,083.44

Underlying: Class A Common Stock · 1,339.07 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.

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

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

SEC source: 0001209191-20-021933 · doc4.xml · derivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,845.74

Underlying: Class A Common Stock · 317.56 shares

Expires not disclosed

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

F9 · derivative.exercise_date: RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued quarterly in 2018 as follows: (1) 78.41 RSUs were issued as dividend equivalents on holder's unvested underling RSUs issued on March 29, 2018 (and dividend equivalents thereon), (2) 64.62 RSUs were issued as dividend equivalents on holder's unvested underling RSUs issued on June 29, 2018 (and dividend equivalents thereon) (3) 65.93 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on September 28, 2018 and (4) 108.61 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on December 31, 2018. In all cases, the dividend equivalent RSUs will vest concurrently with the vesting of the respective unvested underlying RSUs.

F9 · derivative.expiration_date: RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued quarterly in 2018 as follows: (1) 78.41 RSUs were issued as dividend equivalents on holder's unvested underling RSUs issued on March 29, 2018 (and dividend equivalents thereon), (2) 64.62 RSUs were issued as dividend equivalents on holder's unvested underling RSUs issued on June 29, 2018 (and dividend equivalents thereon) (3) 65.93 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on September 28, 2018 and (4) 108.61 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on December 31, 2018. In all cases, the dividend equivalent RSUs will vest concurrently with the vesting of the respective unvested underlying RSUs.

SEC source: 0001209191-20-021933 · doc4.xml · derivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,855.78

Underlying: Class A Common Stock · 479.87 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: 0001209191-20-021933 · doc4.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,174.84

Underlying: Class A Common Stock · 857.06 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: 0001209191-20-021933 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,074.46

Underlying: Class A Common Stock · 691.1 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: 0001209191-20-021933 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,380.84

Underlying: Class A Common Stock · 298.74 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) 85.70 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on March 31, 2017 (and dividend equivalents thereon), (2) 80.25 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued June 30, 2017 (and dividend equivalents thereon) and (3) 71.35 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on September 30, 2017 (and dividend equivalents thereon), and (4) 61.45 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) 85.70 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on March 31, 2017 (and dividend equivalents thereon), (2) 80.25 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued June 30, 2017 (and dividend equivalents thereon) and (3) 71.35 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on September 30, 2017 (and dividend equivalents thereon), and (4) 61.45 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: 0001209191-20-021933 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,010.67

Underlying: Class A Common Stock · 283.76 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: 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: 0001209191-20-021933 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,126.97

Underlying: Class A Common Stock · 328.94 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) 83.47 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on March 31, 2016 (and dividend equivalents subsequently issued thereon), (2) 96.50 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on June 30, 2016 (and dividend equivalents subsequently issued thereon), (3) 85.81 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) 63.17 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) 83.47 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on March 31, 2016 (and dividend equivalents subsequently issued thereon), (2) 96.50 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on June 30, 2016 (and dividend equivalents subsequently issued thereon), (3) 85.81 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) 63.17 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: 0001209191-20-021933 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,823.23

Underlying: Class A Common Stock · 235.7 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: 0001209191-20-021933 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,975.65

Underlying: Class A Common Stock · 282.34 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) 67.87 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on April 3, 2015 (and dividend equivalents thereon), (2) 70.11 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on June 30, 2015 (and dividend equivalents thereon), (3) 74.81 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on September 30, 2015 (and dividend equivalents thereon) and (4) 69.55 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) 67.87 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on April 3, 2015 (and dividend equivalents thereon), (2) 70.11 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on June 30, 2015 (and dividend equivalents thereon), (3) 74.81 RSUs were issued as dividend equivalents on holder's unvested underlying RSUs issued on September 30, 2015 (and dividend equivalents thereon) and (4) 69.55 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: 0001209191-20-021930 · doc4.xml · derivative · entry 4

Callesano Christopher · CIK 0001681752 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,659.65

Underlying: Class A Common Stock · 107.65 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: 0001209191-20-021930 · doc4.xml · derivative · entry 3

Callesano Christopher · CIK 0001681752 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,743.03

Underlying: Class A Common Stock · 70.55 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: 0001209191-20-021930 · doc4.xml · derivative · entry 2

Callesano Christopher · CIK 0001681752 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,109.3

Underlying: Class A Common Stock · 44.9 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: 0001209191-20-021930 · doc4.xml · derivative · entry 1

Callesano Christopher · CIK 0001681752 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 801.52

Underlying: Class A Common Stock · 32.44 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: 0001209191-20-014244 · doc4.xml · nonDerivative · entry 1

CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · balance_after: This number excludes (i) 83,813 unvested RSUs granted to Ms. Crain as incentive compensation for fiscal years 2015 through 2019 and (ii) 86,557 shares of Class A Common Stock issuable in exchange for Moelis & Group LP Class A partnership units held by certain trusts, of which Ms. Crain or her 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: 0001209191-20-012312 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,546

F3 · balance_after: This number excludes (i) 247,074 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: 0001209191-20-012820 · doc4.xml · derivative · entry 10

SIMON JOSEPH · CIK 0001604693 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,404.69

Underlying: Class A Common Stock · 3,002.39 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: The RSUs were settled for Class A common stock on February 21, 2020.

F4 · derivative.exercise_price: The RSUs were settled for Class A common stock on February 21, 2020.

F4 · derivative.exercise_date: The RSUs were settled for Class A common stock on February 21, 2020.

F4 · derivative.expiration_date: The RSUs were settled for Class A common stock on February 21, 2020.

SEC source: 0001209191-20-012820 · doc4.xml · derivative · entry 9

SIMON JOSEPH · CIK 0001604693 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,536.17

Underlying: Class A Common Stock · 3,844.99 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: The RSUs were settled for Class A common stock on February 21, 2020.

F4 · derivative.exercise_price: The RSUs were settled for Class A common stock on February 21, 2020.

F4 · derivative.exercise_date: The RSUs were settled for Class A common stock on February 21, 2020.

F4 · derivative.expiration_date: The RSUs were settled for Class A common stock on February 21, 2020.

SEC source: 0001209191-20-012820 · doc4.xml · derivative · entry 8

SIMON JOSEPH · CIK 0001604693 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,340.19

Underlying: Class A Common Stock · 4,170.1 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: The RSUs were settled for Class A common stock on February 21, 2020.

F4 · derivative.exercise_price: The RSUs were settled for Class A common stock on February 21, 2020.

F4 · derivative.exercise_date: The RSUs were settled for Class A common stock on February 21, 2020.

F4 · derivative.expiration_date: The RSUs were settled for Class A common stock on February 21, 2020.

SEC source: 0001209191-20-012820 · doc4.xml · derivative · entry 7

SIMON JOSEPH · CIK 0001604693 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,258.46

Underlying: Class A Common Stock · 6,258.46 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: The RSUs were settled for Class A common stock on February 21, 2020.

F4 · derivative.exercise_price: The RSUs were settled for Class A common stock on February 21, 2020.

F4 · derivative.exercise_date: The RSUs were settled for Class A common stock on February 21, 2020.

F4 · derivative.expiration_date: The RSUs were settled for Class A common stock on February 21, 2020.

SEC source: 0001209191-20-012820 · doc4.xml · derivative · entry 6

SIMON JOSEPH · CIK 0001604693 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 7,937.44 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: The RSUs were settled for Class A common stock on February 21, 2020.

F4 · derivative.exercise_price: The RSUs were settled for Class A common stock on February 21, 2020.

F4 · derivative.exercise_date: The RSUs were settled for Class A common stock on February 21, 2020.

F4 · derivative.expiration_date: The RSUs were settled for Class A common stock on February 21, 2020.

SEC source: 0001209191-20-012820 · doc4.xml · nonDerivative · entry 4

SIMON JOSEPH · CIK 0001604693 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,456

SEC source: 0001209191-20-012820 · doc4.xml · nonDerivative · entry 3

SIMON JOSEPH · CIK 0001604693 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,213.38

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

SEC source: 0001209191-20-012819 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,744.38

Underlying: Class A Common Stock · 7,935.82 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 February 21, 2020.

F2 · derivative.exercise_price: The RSUs were settled for Class A common stock on February 21, 2020.

F2 · derivative.exercise_date: The RSUs were settled for Class A common stock on February 21, 2020.

F2 · derivative.expiration_date: The RSUs were settled for Class A common stock on February 21, 2020.

SEC source: 0001209191-20-012819 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,383.37

Underlying: Class A Common Stock · 5,460.72 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 February 21, 2020.

F2 · derivative.exercise_price: The RSUs were settled for Class A common stock on February 21, 2020.

F2 · derivative.exercise_date: The RSUs were settled for Class A common stock on February 21, 2020.

F2 · derivative.expiration_date: The RSUs were settled for Class A common stock on February 21, 2020.

SEC source: 0001209191-20-012819 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,726.91

Underlying: Class A Common Stock · 3,362.82 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 February 21, 2020.

F2 · derivative.exercise_price: The RSUs were settled for Class A common stock on February 21, 2020.

F2 · derivative.exercise_date: The RSUs were settled for Class A common stock on February 21, 2020.

F2 · derivative.expiration_date: The RSUs were settled for Class A common stock on February 21, 2020.

SEC source: 0001209191-20-012819 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,587.53

Underlying: Class A Common Stock · 5,587.52 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 February 21, 2020.

F2 · derivative.exercise_price: The RSUs were settled for Class A common stock on February 21, 2020.

F2 · derivative.exercise_date: The RSUs were settled for Class A common stock on February 21, 2020.

F2 · derivative.expiration_date: The RSUs were settled for Class A common stock on February 21, 2020.

SEC source: 0001209191-20-012819 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,162