Last 12 months
Inside the activity.
0 purchase rows · 3 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 1 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 2 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 21, 2020 Filed Feb 26, 2020 02:09 UTC |
Cantor EricDirector · Vice Chairman, MD
|
Exercise / conversionClass A Common Stock | 22,346.88 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-012819 · doc4.xml · nonDerivative · entry 1 Cantor Eric · CIK 0001618434 · Director · Vice Chairman, MD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,414.88 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). Read SEC document |
| February 21, 2020 Filed Feb 26, 2020 02:09 UTC |
Callesano ChristopherPrincipal Accounting Officer
|
Exercise / conversion2018 Incentive Restricted Stock Units · Derivative | 556.4 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-012818 · doc4.xml · derivative · entry 7 Callesano Christopher · CIK 0001681752 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,672.48 Underlying: Class A Common Stock · 556.4 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 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. Read SEC document |
| February 21, 2020 Filed Feb 26, 2020 02:09 UTC |
Callesano ChristopherPrincipal Accounting Officer
|
Exercise / conversion2017 Incentive Restricted Stock Units · Derivative | 531 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-012818 · doc4.xml · derivative · entry 6 Callesano Christopher · CIK 0001681752 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,064.4 Underlying: Class A Common Stock · 531 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. Read SEC document |
| February 21, 2020 Filed Feb 26, 2020 02:09 UTC |
Callesano ChristopherPrincipal Accounting Officer
|
Exercise / conversion2016 Incentive Restricted Stock Units · Derivative | 769.08 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-012818 · doc4.xml · derivative · entry 5 Callesano Christopher · CIK 0001681752 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 769.08 Underlying: Class A Common Stock · 769.08 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: The RSUs were settled for Class A common stock on 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. Read SEC document |
| February 21, 2020 Filed Feb 26, 2020 02:09 UTC |
Callesano ChristopherPrincipal Accounting Officer
|
Exercise / conversion2015 Incentive Restricted Stock Units · Derivative | 1,082.25 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-012818 · doc4.xml · derivative · entry 4 Callesano Christopher · CIK 0001681752 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 1,082.25 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. Read SEC document |
| February 21, 2020 Filed Feb 26, 2020 02:09 UTC |
Callesano ChristopherPrincipal Accounting Officer
|
SaleClass A Common Stock | 1,497 | $36.75 | $55,014.75 |
DisclosureSEC source: 0001209191-20-012818 · doc4.xml · nonDerivative · entry 3 Callesano Christopher · CIK 0001681752 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| February 21, 2020 Filed Feb 26, 2020 02:09 UTC |
Callesano ChristopherPrincipal Accounting Officer
|
Tax withholdingClass A Common Stock | 1,441.73 | $36.72 | $52,940.33 |
DisclosureSEC source: 0001209191-20-012818 · doc4.xml · nonDerivative · entry 2 Callesano Christopher · CIK 0001681752 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,497 Read SEC document |
| February 21, 2020 Filed Feb 26, 2020 02:09 UTC |
Callesano ChristopherPrincipal Accounting Officer
|
Exercise / conversionClass A Common Stock | 2,938.73 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-012818 · doc4.xml · nonDerivative · entry 1 Callesano Christopher · CIK 0001681752 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,938.73 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). Read SEC document |
| February 20, 2020 Filed Feb 22, 2020 02:20 UTC |
WATANABE OSAMU R.General Counsel, Secretary
|
Exercise / conversion2018 Incentive RSUs · Derivative | 2,497.26 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-011852 · doc4.xml · derivative · entry 9 WATANABE OSAMU R. · CIK 0001604471 · General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,990.16 Underlying: Class A Common Stock · 2,497.26 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 20, 2020. F2 · derivative.exercise_price: The RSUs were settled for Class A common stock on February 20, 2020. F2 · derivative.exercise_date: The RSUs were settled for Class A common stock on February 20, 2020. F2 · derivative.expiration_date: The RSUs were settled for Class A common stock on February 20, 2020. F2 · derivative.underlying: The RSUs were settled for Class A common stock on February 20, 2020. Read SEC document |
| February 20, 2020 Filed Feb 22, 2020 02:20 UTC |
WATANABE OSAMU R.General Counsel, Secretary
|
Exercise / conversion2017 Incentive RSUs · Derivative | 2,433.77 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-011852 · doc4.xml · derivative · entry 8 WATANABE OSAMU R. · CIK 0001604471 · General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,304.88 Underlying: Class A Common Stock · 2,433.77 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 20, 2020. F2 · derivative.exercise_price: The RSUs were settled for Class A common stock on February 20, 2020. F2 · derivative.exercise_date: The RSUs were settled for Class A common stock on February 20, 2020. F2 · derivative.expiration_date: The RSUs were settled for Class A common stock on February 20, 2020. Read SEC document |
| February 20, 2020 Filed Feb 22, 2020 02:20 UTC |
WATANABE OSAMU R.General Counsel, Secretary
|
Exercise / conversion2016 Incentive RSUs · Derivative | 3,026.66 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-011852 · doc4.xml · derivative · entry 7 WATANABE OSAMU R. · CIK 0001604471 · General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,053.33 Underlying: Class A Common Stock · 3,026.66 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 20, 2020. F2 · derivative.exercise_price: The RSUs were settled for Class A common stock on February 20, 2020. F2 · derivative.exercise_date: The RSUs were settled for Class A common stock on February 20, 2020. F2 · derivative.expiration_date: The RSUs were settled for Class A common stock on February 20, 2020. Read SEC document |
| February 20, 2020 Filed Feb 22, 2020 02:20 UTC |
WATANABE OSAMU R.General Counsel, Secretary
|
Exercise / conversion2015 Incentive RSUs · Derivative | 4,413.72 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-011852 · doc4.xml · derivative · entry 6 WATANABE OSAMU R. · CIK 0001604471 · General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,415.08 Underlying: Class A Common Stock · 4,413.72 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 20, 2020. F2 · derivative.exercise_price: The RSUs were settled for Class A common stock on February 20, 2020. F2 · derivative.exercise_date: The RSUs were settled for Class A common stock on February 20, 2020. F2 · derivative.expiration_date: The RSUs were settled for Class A common stock on February 20, 2020. Read SEC document |
| February 20, 2020 Filed Feb 22, 2020 02:20 UTC |
WATANABE OSAMU R.General Counsel, Secretary
|
Exercise / conversion2014 Incentive RSUs Granted in 2015 · Derivative | 4,961.27 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-011852 · doc4.xml · derivative · entry 5 WATANABE OSAMU R. · CIK 0001604471 · General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 4,961.27 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 20, 2020. F2 · derivative.exercise_price: The RSUs were settled for Class A common stock on February 20, 2020. F2 · derivative.exercise_date: The RSUs were settled for Class A common stock on February 20, 2020. F2 · derivative.expiration_date: The RSUs were settled for Class A common stock on February 20, 2020. Read SEC document |
| February 20, 2020 Filed Feb 22, 2020 02:20 UTC |
WATANABE OSAMU R.General Counsel, Secretary
|
SaleClass A Common Stock | 8,667 | $36.72 | $318,252.24 |
DisclosureSEC source: 0001209191-20-011852 · doc4.xml · nonDerivative · entry 4 WATANABE OSAMU R. · CIK 0001604471 · General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,603 Read SEC document |
| February 20, 2020 Filed Feb 22, 2020 02:20 UTC |
WATANABE OSAMU R.General Counsel, Secretary
|
Tax withholdingClass A Common Stock | 193.68 | $36.72 | $7,111.93 |
DisclosureSEC source: 0001209191-20-011852 · doc4.xml · nonDerivative · entry 3 WATANABE OSAMU R. · CIK 0001604471 · General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,270 Read SEC document |
| February 20, 2020 Filed Feb 22, 2020 02:20 UTC |
WATANABE OSAMU R.General Counsel, Secretary
|
Exercise / conversionClass A Common Stock | 17,332.68 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-011852 · doc4.xml · nonDerivative · entry 2 WATANABE OSAMU R. · CIK 0001604471 · General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,463.68 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). Read SEC document |
| February 20, 2020 Filed Feb 25, 2020 02:55 UTC |
RAICH JEFFREYDirector · Co-President, MD
|
Exercise / conversion2018 Incentive Restricted Stock Units · Derivative | 12,604.15 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-012312 · doc4.xml · derivative · entry 9 RAICH JEFFREY · CIK 0001604691 · Director · Co-President, MD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,417.7 Underlying: Class A Common Stock · 12,604.15 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 20, 2020. F4 · derivative.exercise_price: The RSUs were settled for Class A Common Stock on February 20, 2020. F4 · derivative.exercise_date: The RSUs were settled for Class A Common Stock on February 20, 2020. F4 · derivative.expiration_date: The RSUs were settled for Class A Common Stock on February 20, 2020. Read SEC document |
| February 20, 2020 Filed Feb 25, 2020 02:55 UTC |
RAICH JEFFREYDirector · Co-President, MD
|
Exercise / conversion2017 Incentive Restricted Stock Units · Derivative | 18,885.3 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-012312 · doc4.xml · derivative · entry 8 RAICH JEFFREY · CIK 0001604691 · Director · Co-President, MD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,658.3 Underlying: Class A Common Stock · 18,885.3 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 20, 2020. F4 · derivative.exercise_price: The RSUs were settled for Class A Common Stock on February 20, 2020. F4 · derivative.exercise_date: The RSUs were settled for Class A Common Stock on February 20, 2020. F4 · derivative.expiration_date: The RSUs were settled for Class A Common Stock on February 20, 2020. Read SEC document |
| February 20, 2020 Filed Feb 25, 2020 02:55 UTC |
RAICH JEFFREYDirector · Co-President, MD
|
Exercise / conversion2016 Incentive Restricted Stock Units · Derivative | 23,206.11 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-012312 · doc4.xml · derivative · entry 7 RAICH JEFFREY · CIK 0001604691 · Director · Co-President, MD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,412.23 Underlying: Class A Common Stock · 23,206.11 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 20, 2020. F4 · derivative.exercise_price: The RSUs were settled for Class A Common Stock on February 20, 2020. F4 · derivative.exercise_date: The RSUs were settled for Class A Common Stock on February 20, 2020. F4 · derivative.expiration_date: The RSUs were settled for Class A Common Stock on February 20, 2020. Read SEC document |
| February 20, 2020 Filed Feb 25, 2020 02:55 UTC |
RAICH JEFFREYDirector · Co-President, MD
|
Exercise / conversion2015 Incentive Restricted Stock Units · Derivative | 28,496.48 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-012312 · doc4.xml · derivative · entry 6 RAICH JEFFREY · CIK 0001604691 · Director · Co-President, MD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,496.48 Underlying: Class A Common Stock · 28,496.48 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 20, 2020. F4 · derivative.exercise_price: The RSUs were settled for Class A Common Stock on February 20, 2020. F4 · derivative.exercise_date: The RSUs were settled for Class A Common Stock on February 20, 2020. F4 · derivative.expiration_date: The RSUs were settled for Class A Common Stock on February 20, 2020. Read SEC document |
| February 20, 2020 Filed Feb 25, 2020 02:55 UTC |
RAICH JEFFREYDirector · Co-President, MD
|
Exercise / conversion2014 Incentive RSUs Granted in 2015 · Derivative | 52,274.11 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-012312 · doc4.xml · derivative · entry 5 RAICH JEFFREY · CIK 0001604691 · Director · Co-President, MD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 52,274.11 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 20, 2020. F4 · derivative.exercise_price: The RSUs were settled for Class A Common Stock on February 20, 2020. F4 · derivative.exercise_date: The RSUs were settled for Class A Common Stock on February 20, 2020. F4 · derivative.expiration_date: The RSUs were settled for Class A Common Stock on February 20, 2020. Read SEC document |
| February 20, 2020 Filed Feb 25, 2020 02:55 UTC |
RAICH JEFFREYDirector · Co-President, MD
|
SaleClass A Common Stock | 67,733 | $36.72 | $2,487,155.76 |
DisclosureSEC source: 0001209191-20-012312 · doc4.xml · nonDerivative · entry 3 RAICH JEFFREY · CIK 0001604691 · Director · Co-President, MD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,241 F2 · security: Class A Common Stock sold by Mr. Raich in order to raise proceeds to satisfy tax obligations triggered by delivery of the Class A Common Stock upon settlement of the RSUs. Federal taxes are not withheld from Class A Common Stock delivered to Mr. Raich upon settlement of RSUs because he is a partner in Moelis & Company Partner Holdings LP. Read SEC document |
| February 20, 2020 Filed Feb 25, 2020 02:55 UTC |
RAICH JEFFREYDirector · Co-President, MD
|
Tax withholdingClass A Common Stock | 1,492.15 | $36.72 | $54,791.75 |
DisclosureSEC source: 0001209191-20-012312 · doc4.xml · nonDerivative · entry 2 RAICH JEFFREY · CIK 0001604691 · Director · Co-President, MD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,974 Read SEC document |
| February 20, 2020 Filed Feb 25, 2020 02:55 UTC |
RAICH JEFFREYDirector · Co-President, MD
|
Exercise / conversionClass A Common Stock | 135,466.15 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-012312 · doc4.xml · nonDerivative · entry 1 RAICH JEFFREY · CIK 0001604691 · Director · Co-President, MD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,466.15 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). Read SEC document |
| February 20, 2020 Filed Feb 25, 2020 02:43 UTC |
MAHMOODZADEGAN NAVIDDirector · Co-President, MD
|
Exercise / conversion2018 Incentive Restricted Stock Units · Derivative | 25,675.24 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-012307 · doc4.xml · derivative · entry 8 MAHMOODZADEGAN NAVID · CIK 0001604685 · Director · Co-President, MD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,703.13 Underlying: Class A Common Stock · 25,675.24 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 20, 2020. F4 · derivative.exercise_price: The RSUs were settled for Class A Common Stock on February 20, 2020. F4 · derivative.exercise_date: The RSUs were settled for Class A Common Stock on February 20, 2020. F4 · derivative.expiration_date: The RSUs were settled for Class A Common Stock on February 20, 2020. Read SEC document |
| February 20, 2020 Filed Feb 25, 2020 02:43 UTC |
MAHMOODZADEGAN NAVIDDirector · Co-President, MD
|
Exercise / conversion2017 Incentive Restricted Stock Units · Derivative | 18,885.3 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-012307 · doc4.xml · derivative · entry 7 MAHMOODZADEGAN NAVID · CIK 0001604685 · Director · Co-President, MD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,658.3 Underlying: Class A Common Stock · 18,885.3 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 20, 2020. F4 · derivative.exercise_price: The RSUs were settled for Class A Common Stock on February 20, 2020. F4 · derivative.exercise_date: The RSUs were settled for Class A Common Stock on February 20, 2020. F4 · derivative.expiration_date: The RSUs were settled for Class A Common Stock on February 20, 2020. Read SEC document |
| February 20, 2020 Filed Feb 25, 2020 02:43 UTC |
MAHMOODZADEGAN NAVIDDirector · Co-President, MD
|
Exercise / conversion2016 Incentive Restricted Stock Units · Derivative | 23,206.11 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-012307 · doc4.xml · derivative · entry 6 MAHMOODZADEGAN NAVID · CIK 0001604685 · Director · Co-President, MD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,412.23 Underlying: Class A Common Stock · 23,206.11 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 20, 2020. F4 · derivative.exercise_price: The RSUs were settled for Class A Common Stock on February 20, 2020. F4 · derivative.exercise_date: The RSUs were settled for Class A Common Stock on February 20, 2020. F4 · derivative.expiration_date: The RSUs were settled for Class A Common Stock on February 20, 2020. Read SEC document |
| February 20, 2020 Filed Feb 25, 2020 02:43 UTC |
MAHMOODZADEGAN NAVIDDirector · Co-President, MD
|
Exercise / conversion2015 Incentive Restricted Stock Units · Derivative | 28,496.48 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-012307 · doc4.xml · derivative · entry 5 MAHMOODZADEGAN NAVID · CIK 0001604685 · Director · Co-President, MD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,496.48 Underlying: Class A Common Stock · 28,496.48 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 20, 2020. F4 · derivative.exercise_price: The RSUs were settled for Class A Common Stock on February 20, 2020. F4 · derivative.exercise_date: The RSUs were settled for Class A Common Stock on February 20, 2020. F4 · derivative.expiration_date: The RSUs were settled for Class A Common Stock on February 20, 2020. Read SEC document |
| February 20, 2020 Filed Feb 25, 2020 02:43 UTC |
MAHMOODZADEGAN NAVIDDirector · Co-President, MD
|
Exercise / conversion2014 Incentive RSUs Granted in 2015 · Derivative | 52,274.11 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-012307 · doc4.xml · derivative · entry 4 MAHMOODZADEGAN NAVID · CIK 0001604685 · Director · Co-President, MD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 52,274.11 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 20, 2020. F4 · derivative.exercise_price: The RSUs were settled for Class A Common Stock on February 20, 2020. F4 · derivative.exercise_date: The RSUs were settled for Class A Common Stock on February 20, 2020. F4 · derivative.expiration_date: The RSUs were settled for Class A Common Stock on February 20, 2020. Read SEC document |
| February 20, 2020 Filed Feb 25, 2020 02:43 UTC |
MAHMOODZADEGAN NAVIDDirector · Co-President, MD
|
SaleClass A Common Stock | 74,269 | $36.72 | $2,727,157.68 |
DisclosureSEC source: 0001209191-20-012307 · doc4.xml · nonDerivative · entry 3 MAHMOODZADEGAN NAVID · CIK 0001604685 · Director · Co-President, MD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,632 F2 · security: Class A Common Stock sold in order to raise proceeds to satisfy tax obligations triggered by delivery of the Class A Common Stock upon settlement of the RSUs. Federal taxes are not withheld from Class A Common Stock delivered upon settlement of RSUs to Mr. Mahmoodzadegan because he is a partner in Moelis & Company Partner Holdings LP. F3 · balance_after: This number excludes (i) 432,095 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. Read SEC document |
| February 20, 2020 Filed Feb 25, 2020 02:43 UTC |
MAHMOODZADEGAN NAVIDDirector · Co-President, MD
|
Tax withholdingClass A Common Stock | 1,636.24 | $36.72 | $60,082.73 |
DisclosureSEC source: 0001209191-20-012307 · doc4.xml · nonDerivative · entry 2 MAHMOODZADEGAN NAVID · CIK 0001604685 · Director · Co-President, MD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 146,901 Read SEC document |
| February 20, 2020 Filed Feb 25, 2020 02:43 UTC |
MAHMOODZADEGAN NAVIDDirector · Co-President, MD
|
Exercise / conversionClass A Common Stock | 148,537.24 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-012307 · doc4.xml · nonDerivative · entry 1 MAHMOODZADEGAN NAVID · CIK 0001604685 · Director · Co-President, MD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,537.24 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 of Moelis & Company ("Class A Common Stock") were acquired upon settlement of Restricted Stock Units (RSUs). Read SEC document |
| February 20, 2020 Filed Feb 25, 2020 02:20 UTC |
MOELIS KENNETHDirector · Chairman, CEO · 10% owner
|
Exercise / conversion2018 Incentive RSUs · Derivative | 22,291 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-012299 · doc4.xml · derivative · entry 8 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,164 Underlying: Class A Common Stock · 22,291 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 20, 2020. F4 · derivative.exercise_price: The RSUs were settled for Class A common stock on February 20, 2020. F4 · derivative.exercise_date: The RSUs were settled for Class A common stock on February 20, 2020. F4 · derivative.expiration_date: The RSUs were settled for Class A common stock on February 20, 2020. Read SEC document |
| February 20, 2020 Filed Feb 25, 2020 02:20 UTC |
MOELIS KENNETHDirector · Chairman, CEO · 10% owner
|
Exercise / conversion2017 Incentive RSUs · Derivative | 18,885.3 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-012299 · doc4.xml · derivative · entry 7 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,658.3 Underlying: Class A Common Stock · 18,885.3 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 20, 2020. F4 · derivative.exercise_price: The RSUs were settled for Class A common stock on February 20, 2020. F4 · derivative.exercise_date: The RSUs were settled for Class A common stock on February 20, 2020. F4 · derivative.expiration_date: The RSUs were settled for Class A common stock on February 20, 2020. Read SEC document |
| February 20, 2020 Filed Feb 25, 2020 02:20 UTC |
MOELIS KENNETHDirector · Chairman, CEO · 10% owner
|
Exercise / conversion2016 Incentive RSUs · Derivative | 23,206.11 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-012299 · doc4.xml · derivative · entry 6 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,412.23 Underlying: Class A Common Stock · 23,206.11 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 20, 2020. F4 · derivative.exercise_price: The RSUs were settled for Class A common stock on February 20, 2020. F4 · derivative.exercise_date: The RSUs were settled for Class A common stock on February 20, 2020. F4 · derivative.expiration_date: The RSUs were settled for Class A common stock on February 20, 2020. Read SEC document |
| February 20, 2020 Filed Feb 25, 2020 02:20 UTC |
MOELIS KENNETHDirector · Chairman, CEO · 10% owner
|
Exercise / conversion2015 Incentive RSUs · Derivative | 45,817.92 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-012299 · doc4.xml · derivative · entry 5 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,817.93 Underlying: Class A Common Stock · 45,817.92 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 20, 2020. F4 · derivative.exercise_price: The RSUs were settled for Class A common stock on February 20, 2020. F4 · derivative.exercise_date: The RSUs were settled for Class A common stock on February 20, 2020. F4 · derivative.expiration_date: The RSUs were settled for Class A common stock on February 20, 2020. Read SEC document |
| February 20, 2020 Filed Feb 25, 2020 02:20 UTC |
MOELIS KENNETHDirector · Chairman, CEO · 10% owner
|
Exercise / conversion2014 Incentive RSUs Granted in 2015 · Derivative | 48,459.1 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-012299 · doc4.xml · derivative · entry 4 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 48,459.1 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 20, 2020. F4 · derivative.exercise_price: The RSUs were settled for Class A common stock on February 20, 2020. F4 · derivative.exercise_date: The RSUs were settled for Class A common stock on February 20, 2020. F4 · derivative.expiration_date: The RSUs were settled for Class A common stock on February 20, 2020. Read SEC document |
| February 20, 2020 Filed Feb 25, 2020 02:20 UTC |
MOELIS KENNETHDirector · Chairman, CEO · 10% owner
|
SaleClass A Common Stock | 79,331 | $36.72 | $2,913,034.32 |
DisclosureSEC source: 0001209191-20-012299 · doc4.xml · nonDerivative · entry 3 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 164,330 F2 · security: Class A common stock sold by Mr. Moelis in order to raise proceeds to satisfy tax obligations triggered by delivery of the Class A common stock upon settlement of the RSUs. Federal taxes are not withheld from Class A common stock delivered to Mr. Moelis upon settlement of RSUs because he is a partner in Moelis & Company Partner Holdings LP. F3 · balance_after: This number excludes (i) 374,227 unvested RSUs granted to Mr. Moelis as incentive compensation for fiscal years 2014 through 2019 and (ii) 4,876,314 shares of Class A common stock issuable in exchange for Moelis & Company Group LP Class A partnership units held by a trust, of which Mr. Moelis is a beneficiary. 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 to Mr. Moelis. Read SEC document |
| February 20, 2020 Filed Feb 25, 2020 02:20 UTC |
MOELIS KENNETHDirector · Chairman, CEO · 10% owner
|
Tax withholdingClass A Common Stock | 1,748.44 | $36.72 | $64,202.72 |
DisclosureSEC source: 0001209191-20-012299 · doc4.xml · nonDerivative · entry 2 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 243,661 Read SEC document |
| February 20, 2020 Filed Feb 25, 2020 02:20 UTC |
MOELIS KENNETHDirector · Chairman, CEO · 10% owner
|
Exercise / conversionClass A Common Stock | 158,659.44 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-012299 · doc4.xml · nonDerivative · entry 1 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 245,409.44 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). Read SEC document |
| February 20, 2020 Filed Feb 25, 2020 11:42 UTC |
CRAIN ELIZABETHDirector · Chief Operating Officer
|
Exercise / conversion2018 Incentive Restricted Stock Units · Derivative | 4,387.94 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-012323 · doc4.xml · derivative · entry 8 CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,552.85 Underlying: Class A Common Stock · 4,387.94 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 20, 2020. F4 · derivative.exercise_price: The RSUs were settled for Class A Common Stock on February 20, 2020. F4 · derivative.exercise_date: The RSUs were settled for Class A Common Stock on February 20, 2020. F4 · derivative.expiration_date: The RSUs were settled for Class A Common Stock on February 20, 2020. Read SEC document |
| February 20, 2020 Filed Feb 25, 2020 11:42 UTC |
CRAIN ELIZABETHDirector · Chief Operating Officer
|
Exercise / conversion2017 Incentive Restricted Stock Units · Derivative | 4,550.6 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-012323 · doc4.xml · derivative · entry 7 CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,651.81 Underlying: Class A Common Stock · 4,550.6 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 20, 2020. F4 · derivative.exercise_price: The RSUs were settled for Class A Common Stock on February 20, 2020. F4 · derivative.exercise_date: The RSUs were settled for Class A Common Stock on February 20, 2020. F4 · derivative.expiration_date: The RSUs were settled for Class A Common Stock on February 20, 2020. Read SEC document |
| February 20, 2020 Filed Feb 25, 2020 11:42 UTC |
CRAIN ELIZABETHDirector · Chief Operating Officer
|
Exercise / conversion2016 Incentive Restricted Stock Units · Derivative | 4,708.71 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-012323 · doc4.xml · derivative · entry 6 CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,417.41 Underlying: Class A Common Stock · 4,708.71 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 20, 2020. F4 · derivative.exercise_price: The RSUs were settled for Class A Common Stock on February 20, 2020. F4 · derivative.exercise_date: The RSUs were settled for Class A Common Stock on February 20, 2020. F4 · derivative.expiration_date: The RSUs were settled for Class A Common Stock on February 20, 2020. Read SEC document |
| February 20, 2020 Filed Feb 25, 2020 11:42 UTC |
CRAIN ELIZABETHDirector · Chief Operating Officer
|
Exercise / conversion2015 Incentive Restricted Stock Units · Derivative | 6,817.35 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-012323 · doc4.xml · derivative · entry 5 CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,817.34 Underlying: Class A Common Stock · 6,817.35 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 20, 2020. F4 · derivative.exercise_price: The RSUs were settled for Class A Common Stock on February 20, 2020. F4 · derivative.exercise_date: The RSUs were settled for Class A Common Stock on February 20, 2020. F4 · derivative.expiration_date: The RSUs were settled for Class A Common Stock on February 20, 2020. Read SEC document |
| February 20, 2020 Filed Feb 25, 2020 11:42 UTC |
CRAIN ELIZABETHDirector · Chief Operating Officer
|
Exercise / conversion2014 Incentive RSUs Granted in 2015 · Derivative | 9,004.65 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-012323 · doc4.xml · derivative · entry 4 CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 9,004.65 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 20, 2020. F4 · derivative.exercise_price: The RSUs were settled for Class A Common Stock on February 20, 2020. F4 · derivative.exercise_date: The RSUs were settled for Class A Common Stock on February 20, 2020. F4 · derivative.expiration_date: The RSUs were settled for Class A Common Stock on February 20, 2020. Read SEC document |
| February 20, 2020 Filed Feb 25, 2020 11:42 UTC |
CRAIN ELIZABETHDirector · Chief Operating Officer
|
SaleClass A Common Stock | 14,734 | $36.72 | $541,032.48 |
DisclosureSEC source: 0001209191-20-012323 · doc4.xml · nonDerivative · entry 3 CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,075 F2 · security: Class A Common Stock sold by Ms. Crain in order to raise proceeds to satisfy tax obligations triggered by delivery of the Class A Common Stock upon settlement of the RSUs. Federal taxes are not withheld from Class A Common Stock delivered to Ms. Crain upon settlement of RSUs because she is a partner in Moelis & Company Partner Holdings LP. F3 · 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. Read SEC document |
| February 20, 2020 Filed Feb 25, 2020 11:42 UTC |
CRAIN ELIZABETHDirector · Chief Operating Officer
|
Tax withholdingClass A Common Stock | 327.25 | $36.72 | $12,016.62 |
DisclosureSEC source: 0001209191-20-012323 · doc4.xml · nonDerivative · entry 2 CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,809 Read SEC document |
| February 20, 2020 Filed Feb 25, 2020 11:42 UTC |
CRAIN ELIZABETHDirector · Chief Operating Officer
|
Exercise / conversionClass A Common Stock | 29,469.25 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-012323 · doc4.xml · nonDerivative · entry 1 CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,136.25 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 of Moelis & Company ("Class A Common Stock") were acquired upon settlement of Restricted Stock Units (RSUs). Read SEC document |
| February 19, 2020 Filed Feb 22, 2020 02:20 UTC |
WATANABE OSAMU R.General Counsel, Secretary
|
SaleClass A Common Stock | 16,969 | $37.54 | $637,016.26 |
DisclosureSEC source: 0001209191-20-011852 · doc4.xml · nonDerivative · entry 1 WATANABE OSAMU R. · CIK 0001604471 · General Counsel, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131 Read SEC document |
| February 14, 2020 Filed Feb 20, 2020 02:10 UTC |
MOELIS KENNETHDirector · Chairman, CEO · 10% owner
|
OtherMAM Employee Stock Options (Obligation to Sell) · Derivative | 6,000 | $0.00 Strike: $15.95 | $0.00 |
DisclosureSEC source: 0001209191-20-010864 · doc4.xml · derivative · entry 4 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 0 Underlying: Class A Common Stock · 6,000 shares Expires 2020-04-22 F3 · security: As part of the process of separating the Asset Management business from the Advisory business at the time of the IPO, MAM purchased the Options from the Company in order for MAM to grant the MAM Employee Options to certain MAM employees. These Options are exercisable at any time and expire on April 22, 2020. The MAM Employee Options vested in installments of 25% on April 22, 2017, 25% on April 22, 2018 and 50% on April 22, 2019. The MAM Employee Options expire on April 22, 2020. F4 · derivative.exercise_price: The strike price was revised to $15.95. F7 · kind: Certain MAM employees have exercised a portion of the MAM Employee Options granted to such MAM employees by MAM. F3 · derivative.exercise_date: As part of the process of separating the Asset Management business from the Advisory business at the time of the IPO, MAM purchased the Options from the Company in order for MAM to grant the MAM Employee Options to certain MAM employees. These Options are exercisable at any time and expire on April 22, 2020. The MAM Employee Options vested in installments of 25% on April 22, 2017, 25% on April 22, 2018 and 50% on April 22, 2019. The MAM Employee Options expire on April 22, 2020. F8 · ownership.nature: Represents MAM Employee Options granted by MAM to certain MAM employees. The MAM Employee Options represent an obligation of MAM to sell to MAM employees Class A Common Stock upon exercise of the MAM Employee Options by MAM employees. Mr. Moelis had dispositive power with respect to MAM's rights as the grantor of the MAM Employee Options (obligation to sell) as a result of his controlling interest in MAM. As part of the process of separating the Asset Management business from the Advisory business at the time of the IPO, MAM purchased the Options from the Company in order for MAM to grant MAM Employee Options to certain MAM employees. The MAM Employee Options were not granted under the Company's Omnibus Plan. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.