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 |
|---|---|---|---|---|---|---|
| June 03, 2019 Filed Jun 5, 2019 21:47 UTC |
CRAIN ELIZABETHDirector · Chief Operating Officer
|
SaleClass A Common Stock | 698 | $32.19 | $22,468.34 |
DisclosureSEC source: 0001209191-19-034858 · doc4.xml · nonDerivative · entry 5 CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 0 F1 · ownership.nature: Represents transactions by Trust U/Article Second (B) of the Elizabeth A. Crain GRAT U/A 9-3--2010. Ms. Crain may have indirect voting power and dispositive power over the assets of the trust as a result of her relationship to the trustee. Read SEC document |
| June 03, 2019 Filed Jun 5, 2019 21:47 UTC |
CRAIN ELIZABETHDirector · Chief Operating Officer
|
SaleClass A Common Stock | 9,302 | $32.19 | $299,427.66 |
DisclosureSEC source: 0001209191-19-034858 · doc4.xml · nonDerivative · entry 4 CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,667 Read SEC document |
| June 03, 2019 Filed Jun 5, 2019 21:47 UTC |
CRAIN ELIZABETHDirector · Chief Operating Officer
|
SaleClass A Common Stock | 9,669 | $32.26 | $311,912.27 |
DisclosureSEC source: 0001209191-19-034858 · doc4.xml · nonDerivative · entry 3 CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,969 Read SEC document |
| June 03, 2019 Filed Jun 5, 2019 21:47 UTC |
CRAIN ELIZABETHDirector · Chief Operating Officer
|
SaleClass A Common Stock | 12,000 | $31.98 | $383,802.00 |
DisclosureSEC source: 0001209191-19-034858 · doc4.xml · nonDerivative · entry 2 CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,638 Read SEC document |
| June 03, 2019 Filed Jun 5, 2019 21:47 UTC |
CRAIN ELIZABETHDirector · Chief Operating Officer
|
Exercise / conversionClass A Common Stock | 21,669 | $16.70 | $361,872.30 |
DisclosureSEC source: 0001209191-19-034858 · doc4.xml · nonDerivative · entry 1 CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,638 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. Read SEC document |
| May 03, 2019 Filed May 4, 2019 00:29 UTC |
Callesano ChristopherPrincipal Accounting Officer
|
Exercise / conversionIPO Options (Right to Buy) · Derivative | 3,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-027597 · doc4.xml · derivative · entry 10 Callesano Christopher · CIK 0001681752 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 3,500 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · security: Grant of stock options pursuant to the Moelis & Company 2014 Omnibus Incentive Plan. F4 · derivative.exercise_price: The IPO Options were originally issued at $25.00. Moelis & Company (the "Company") paid special dividends of $8.30, in aggregate, through May 3, 2019. As required under Section 5 of the Company's 2014 Omnibus Incentive Plan, the Compensation Committee of the Company's Board of Directors equitably reduced the exercise price of the Company's outstanding options to purchase common stock by $8.30 from $25.00 per share to $16.70 per share. Such options are held by certain current and former employees of the Company, including officers and directors. F5 · derivative.exercise_date: The IPO Options vest 25% on April 22, 2017, 25% on April 22, 2018 and 50% on April 22, 2019. The IPO Options expire on April 22, 2020. F5 · derivative.expiration_date: The IPO Options vest 25% on April 22, 2017, 25% on April 22, 2018 and 50% on April 22, 2019. The IPO Options expire on April 22, 2020. Read SEC document |
| May 03, 2019 Filed May 4, 2019 00:29 UTC |
Callesano ChristopherPrincipal Accounting Officer
|
SaleClass A Common Stock | 3,500 | $38.00 | $133,000.00 |
DisclosureSEC source: 0001209191-19-027597 · doc4.xml · nonDerivative · entry 4 Callesano Christopher · CIK 0001681752 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,797 Read SEC document |
| May 03, 2019 Filed May 4, 2019 00:29 UTC |
Callesano ChristopherPrincipal Accounting Officer
|
Exercise / conversionClass A Common Stock | 3,500 | $16.70 | $58,450.00 |
DisclosureSEC source: 0001209191-19-027597 · doc4.xml · nonDerivative · entry 3 Callesano Christopher · CIK 0001681752 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,297 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. Read SEC document |
| May 01, 2019 Filed May 4, 2019 00:09 UTC |
MOELIS KENNETHDirector · Chairman, CEO · 10% owner
|
OtherMAM Incentive Restricted Stock Units (Right to Buy) · Derivative | 5,600 | $37.50 | $210,000.00 |
DisclosureSEC source: 0001209191-19-027583 · doc4.xml · derivative · entry 12 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 · 5,600 shares Expires not disclosed F8 · security: As part of the process of separating the Asset Management business from the Advisory business at the time of the IPO, MAM purchased Class A common stock from the Company and subsequently granted the MAM Employee RSUs to certain MAM employees. F9 · derivative.exercise_price: Each MAM Employee RSU represents the right to receive upon settlement either, at the Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. On May 1, 2019, 5,600 MAM Employee RSUs were settled for Class A Common Stock. F3 · price: Based on the price per share of Class A common stock of $37.50. F10 · derivative.exercise_date: The third installment of 5,600 MAM Employee RSUs vested on April 1, 2019. F10 · derivative.expiration_date: The third installment of 5,600 MAM Employee RSUs vested on April 1, 2019. F11 · balance_after: Following settlement of the MAM Employee RSUs, MAM cancelled 5,600 of the MAM Employee RSUs. F12 · ownership.nature: Represents MAM Employee RSUs granted by MAM to certain MAM employees. Mr. Moelis had dispositive power over the MAM Employee RSUs 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 Class A Common Stock from the Company in order for MAM to grant MAM Employee RSUs to certain MAM employees. On May 1, 2019, 5,600 MAM Employee RSUs were settled for Class A Common Stock. The MAM Employee RSUs were not granted under the Moelis & Company 2014 Omnibus Incentive Plan (the "Plan"). Read SEC document |
| May 01, 2019 Filed May 4, 2019 00:09 UTC |
MOELIS KENNETHDirector · Chairman, CEO · 10% owner
|
Exercise / conversionClass B Common Stock, par value $0.01 · Derivative | 61,936 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-027583 · doc4.xml · derivative · entry 11 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,431,422 Underlying: Class A Common Stock, par value $0.01 · 34 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 conversion covered by this footnote automatically occurred pursuant to the terms of the Company's Amended and Restated Certificate of Incorporation when certain Moelis & Company Group LP Units ("Group Units") were exchanged for Class A common stock by certain selling stockholders in connection with the Company's public offering closed on April 21, 2014. F7 · security: Each share of Class B common stock is convertible into approximately 0.00055 shares of Class A common stock in certain circumstances, including when and if certain holders of Group Units elect to exchange such units for Class A common stock. Such conversions of Class B common stock may often result in conversion into less than 1 share of Class A common stock and in such case in lieu of such fractional share, the Company will pay the holder (Partner Holdings) cash equal to the Value (as defined in the Company's Amended and Restated Certificate of Incorporation) of the fractional share of Class A common stock. F7 · derivative.exercise_price: Each share of Class B common stock is convertible into approximately 0.00055 shares of Class A common stock in certain circumstances, including when and if certain holders of Group Units elect to exchange such units for Class A common stock. Such conversions of Class B common stock may often result in conversion into less than 1 share of Class A common stock and in such case in lieu of such fractional share, the Company will pay the holder (Partner Holdings) cash equal to the Value (as defined in the Company's Amended and Restated Certificate of Incorporation) of the fractional share of Class A common stock. F4 · kind: The conversion covered by this footnote automatically occurred pursuant to the terms of the Company's Amended and Restated Certificate of Incorporation when certain Moelis & Company Group LP Units ("Group Units") were exchanged for Class A common stock by certain selling stockholders in connection with the Company's public offering closed on April 21, 2014. F4 · price: The conversion covered by this footnote automatically occurred pursuant to the terms of the Company's Amended and Restated Certificate of Incorporation when certain Moelis & Company Group LP Units ("Group Units") were exchanged for Class A common stock by certain selling stockholders in connection with the Company's public offering closed on April 21, 2014. F7 · derivative.exercise_date: Each share of Class B common stock is convertible into approximately 0.00055 shares of Class A common stock in certain circumstances, including when and if certain holders of Group Units elect to exchange such units for Class A common stock. Such conversions of Class B common stock may often result in conversion into less than 1 share of Class A common stock and in such case in lieu of such fractional share, the Company will pay the holder (Partner Holdings) cash equal to the Value (as defined in the Company's Amended and Restated Certificate of Incorporation) of the fractional share of Class A common stock. F7 · derivative.expiration_date: Each share of Class B common stock is convertible into approximately 0.00055 shares of Class A common stock in certain circumstances, including when and if certain holders of Group Units elect to exchange such units for Class A common stock. Such conversions of Class B common stock may often result in conversion into less than 1 share of Class A common stock and in such case in lieu of such fractional share, the Company will pay the holder (Partner Holdings) cash equal to the Value (as defined in the Company's Amended and Restated Certificate of Incorporation) of the fractional share of Class A common stock. Read SEC document |
| May 01, 2019 Filed May 4, 2019 00:09 UTC |
MOELIS KENNETHDirector · Chairman, CEO · 10% owner
|
Exercise / conversion2017 Incentive Restricted Stock Units · Derivative | 18,038.347 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-027583 · doc4.xml · derivative · entry 10 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,155.673 Underlying: Class A Common Stock · 18,038.347 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. F6 · security: The RSUs were settled for Class A common stock on May 1, 2019. F6 · derivative.exercise_price: The RSUs were settled for Class A common stock on May 1, 2019. F6 · derivative.exercise_date: The RSUs were settled for Class A common stock on May 1, 2019. F6 · derivative.expiration_date: The RSUs were settled for Class A common stock on May 1, 2019. Read SEC document |
| May 01, 2019 Filed May 4, 2019 00:09 UTC |
MOELIS KENNETHDirector · Chairman, CEO · 10% owner
|
Exercise / conversion2016 Incentive Restricted Stock Units · Derivative | 22,165.383 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-027583 · doc4.xml · derivative · entry 9 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,496.15 Underlying: Class A Common Stock · 22,165.383 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. F6 · security: The RSUs were settled for Class A common stock on May 1, 2019. F6 · derivative.exercise_price: The RSUs were settled for Class A common stock on May 1, 2019. F6 · derivative.exercise_date: The RSUs were settled for Class A common stock on May 1, 2019. F6 · derivative.expiration_date: The RSUs were settled for Class A common stock on May 1, 2019. Read SEC document |
| May 01, 2019 Filed May 4, 2019 00:09 UTC |
MOELIS KENNETHDirector · Chairman, CEO · 10% owner
|
Exercise / conversion2015 Incentive Restricted Stock Units · Derivative | 43,763.115 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-027583 · doc4.xml · derivative · entry 8 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,526.23 Underlying: Class A Common Stock · 43,763.115 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. F6 · security: The RSUs were settled for Class A common stock on May 1, 2019. F6 · derivative.exercise_price: The RSUs were settled for Class A common stock on May 1, 2019. F6 · derivative.exercise_date: The RSUs were settled for Class A common stock on May 1, 2019. F6 · derivative.expiration_date: The RSUs were settled for Class A common stock on May 1, 2019. Read SEC document |
| May 01, 2019 Filed May 4, 2019 00:09 UTC |
MOELIS KENNETHDirector · Chairman, CEO · 10% owner
|
Exercise / conversion2014 Incentive RSUs Granted in 2015 · Derivative | 46,285.838 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-027583 · doc4.xml · derivative · entry 7 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,285.838 Underlying: Class A Common Stock · 46,285.838 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. F6 · security: The RSUs were settled for Class A common stock on May 1, 2019. F6 · derivative.exercise_price: The RSUs were settled for Class A common stock on May 1, 2019. F6 · derivative.exercise_date: The RSUs were settled for Class A common stock on May 1, 2019. F6 · derivative.expiration_date: The RSUs were settled for Class A common stock on May 1, 2019. Read SEC document |
| May 01, 2019 Filed May 4, 2019 00:09 UTC |
MOELIS KENNETHDirector · Chairman, CEO · 10% owner
|
Exercise / conversion2014 Incentive Restricted Stock Units · Derivative | 39,162.676 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-027583 · doc4.xml · derivative · entry 6 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 · 39,162.676 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. F6 · security: The RSUs were settled for Class A common stock on May 1, 2019. F6 · derivative.exercise_price: The RSUs were settled for Class A common stock on May 1, 2019. F6 · derivative.exercise_date: The RSUs were settled for Class A common stock on May 1, 2019. F6 · derivative.expiration_date: The RSUs were settled for Class A common stock on May 1, 2019. Read SEC document |
| May 01, 2019 Filed May 4, 2019 00:09 UTC |
MOELIS KENNETHDirector · Chairman, CEO · 10% owner
|
OtherClass A Common Stock | 5,600 | $37.50 | $210,000.00 |
DisclosureSEC source: 0001209191-19-027583 · doc4.xml · nonDerivative · entry 5 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 0 F5 · security: Class A Common Stock held by Moelis Asset Management ("MAM"). Mr. Moelis has voting and dispositive power over the Class A Common Stock 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 of Moelis & Company (the "Company"), MAM purchased 16,800 shares from the Company in order for MAM to grant Restricted Stock Units to certain MAM employees (the "MAM Employee RSUs"). MAM purchased the Common Stock for $25.00. These transactions were approved by the Company's Board under Section 16b-3. On April 1, 2019, 5,600 MAM Employee RSUs vested. On May 1, 2019, MAM delivered 5,600 shares of Class A Common Stock to certain MAM employees upon settlement of the 5,600 MAM Employee RSUs. There are no remaining MAM Employee RSUs. F3 · price: Based on the price per share of Class A common stock of $37.50. F5 · ownership.nature: Class A Common Stock held by Moelis Asset Management ("MAM"). Mr. Moelis has voting and dispositive power over the Class A Common Stock 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 of Moelis & Company (the "Company"), MAM purchased 16,800 shares from the Company in order for MAM to grant Restricted Stock Units to certain MAM employees (the "MAM Employee RSUs"). MAM purchased the Common Stock for $25.00. These transactions were approved by the Company's Board under Section 16b-3. On April 1, 2019, 5,600 MAM Employee RSUs vested. On May 1, 2019, MAM delivered 5,600 shares of Class A Common Stock to certain MAM employees upon settlement of the 5,600 MAM Employee RSUs. There are no remaining MAM Employee RSUs. Read SEC document |
| May 01, 2019 Filed May 4, 2019 00:09 UTC |
MOELIS KENNETHDirector · Chairman, CEO · 10% owner
|
Exercise / conversionClass A Common Stock | 34 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-027583 · doc4.xml · nonDerivative · entry 4 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,750 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 · kind: The conversion covered by this footnote automatically occurred pursuant to the terms of the Company's Amended and Restated Certificate of Incorporation when certain Moelis & Company Group LP Units ("Group Units") were exchanged for Class A common stock by certain selling stockholders in connection with the Company's public offering closed on April 21, 2014. F4 · price: The conversion covered by this footnote automatically occurred pursuant to the terms of the Company's Amended and Restated Certificate of Incorporation when certain Moelis & Company Group LP Units ("Group Units") were exchanged for Class A common stock by certain selling stockholders in connection with the Company's public offering closed on April 21, 2014. Read SEC document |
| May 01, 2019 Filed May 4, 2019 00:09 UTC |
MOELIS KENNETHDirector · Chairman, CEO · 10% owner
|
SaleClass A Common Stock | 84,708 | $37.50 | $3,176,550.00 |
DisclosureSEC source: 0001209191-19-027583 · doc4.xml · nonDerivative · entry 3 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,716 Read SEC document |
| May 01, 2019 Filed May 4, 2019 00:09 UTC |
MOELIS KENNETHDirector · Chairman, CEO · 10% owner
|
Disposition to issuerClass A Common Stock | 2.359 | $88.48 | $208.72 |
DisclosureSEC source: 0001209191-19-027583 · doc4.xml · nonDerivative · entry 2 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 171,424 F2 · shares: Pursuant to the terms of the RSUs, fractional shares were settled in cash. F3 · price: Based on the price per share of Class A common stock of $37.50. Read SEC document |
| May 01, 2019 Filed May 4, 2019 00:09 UTC |
MOELIS KENNETHDirector · Chairman, CEO · 10% owner
|
Exercise / conversionClass A Common Stock | 169,415.36 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-027583 · doc4.xml · nonDerivative · entry 1 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 171,426.36 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 |
| May 01, 2019 Filed May 4, 2019 01:07 UTC |
CRAIN ELIZABETHDirector · Chief Operating Officer
|
Exercise / conversionPartnership Interests · Derivative | 698 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-027603 · doc4.xml · derivative · entry 10 CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 12,455 Underlying: Class A Common Stock, par value $0.01 · 698 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. F7 · security: Partnership Interests are exchangeable for an equal number of Group Units. Each Group Unit is exchangeable for a share of Moelis & Company Class A common stock (subject to customary adjustments) or cash, at Group LP's option. F5 · derivative.exercise_price: On May 1, 2019 certain of the holder's partnership interests ("Partnership Interests") in Moelis & Company Partner Holdings LP ("Partner Holdings") were exchanged for an equal number of Class A partnership units ("Group Units") in Moelis & Company Group LP ("Group LP") and the Group Units were exchanged for an equal number of shares of Moelis & Company Class A common stock. The exchanges were approved by the Company's board of directors under Rule 16b-3. F5 · price: On May 1, 2019 certain of the holder's partnership interests ("Partnership Interests") in Moelis & Company Partner Holdings LP ("Partner Holdings") were exchanged for an equal number of Class A partnership units ("Group Units") in Moelis & Company Group LP ("Group LP") and the Group Units were exchanged for an equal number of shares of Moelis & Company Class A common stock. The exchanges were approved by the Company's board of directors under Rule 16b-3. F8 · derivative.exercise_date: Pursuant to Group LP's agreement of limited partnership, Group Units held by the reporting person are not exchangeable for Moelis & Company Class A common stock until the expiration or waiver of certain lockup periods, commencing on the fourth anniversary of the closing of the initial public offering of Moelis & Company Class A common stock. The form of Group LP's agreement of limited partnership has been filed as an exhibit to Moelis & Company's registration statement on Form S-1 (File No. 333194306) dated April 8, 2014. F8 · derivative.expiration_date: Pursuant to Group LP's agreement of limited partnership, Group Units held by the reporting person are not exchangeable for Moelis & Company Class A common stock until the expiration or waiver of certain lockup periods, commencing on the fourth anniversary of the closing of the initial public offering of Moelis & Company Class A common stock. The form of Group LP's agreement of limited partnership has been filed as an exhibit to Moelis & Company's registration statement on Form S-1 (File No. 333194306) dated April 8, 2014. F4 · ownership.nature: Represents transactions by Trust U/Article Second (B) of the Elizabeth A. Crain GRAT U/A 9-3--2010. Ms. Crain may have indirect voting power and dispositive power over the assets of the trust as a result of her relationship to the trustee. Read SEC document |
| May 01, 2019 Filed May 4, 2019 01:07 UTC |
CRAIN ELIZABETHDirector · Chief Operating Officer
|
Exercise / conversion2017 Incentive RSUs · Derivative | 4,346.521 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-027603 · doc4.xml · derivative · entry 9 CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,386.084 Underlying: Class A Common Stock · 4,346.521 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. F6 · security: The RSUs were settled for Class A common stock on May 1, 2019. F6 · derivative.exercise_price: The RSUs were settled for Class A common stock on May 1, 2019. F6 · derivative.exercise_date: The RSUs were settled for Class A common stock on May 1, 2019. F6 · derivative.expiration_date: The RSUs were settled for Class A common stock on May 1, 2019. Read SEC document |
| May 01, 2019 Filed May 4, 2019 01:07 UTC |
CRAIN ELIZABETHDirector · Chief Operating Officer
|
Exercise / conversion2016 Incentive RSUs · Derivative | 4,497.535 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-027603 · doc4.xml · derivative · entry 8 CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,492.606 Underlying: Class A Common Stock · 4,497.535 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. F6 · security: The RSUs were settled for Class A common stock on May 1, 2019. F6 · derivative.exercise_price: The RSUs were settled for Class A common stock on May 1, 2019. F6 · derivative.exercise_date: The RSUs were settled for Class A common stock on May 1, 2019. F6 · derivative.expiration_date: The RSUs were settled for Class A common stock on May 1, 2019. Read SEC document |
| May 01, 2019 Filed May 4, 2019 01:07 UTC |
CRAIN ELIZABETHDirector · Chief Operating Officer
|
Exercise / conversion2015 Incentive RSUs · Derivative | 6,510.302 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-027603 · doc4.xml · derivative · entry 7 CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,023.213 Underlying: Class A Common Stock · 6,510.302 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. F6 · security: The RSUs were settled for Class A common stock on May 1, 2019. F6 · derivative.exercise_price: The RSUs were settled for Class A common stock on May 1, 2019. F6 · derivative.exercise_date: The RSUs were settled for Class A common stock on May 1, 2019. F6 · derivative.expiration_date: The RSUs were settled for Class A common stock on May 1, 2019. Read SEC document |
| May 01, 2019 Filed May 4, 2019 01:07 UTC |
CRAIN ELIZABETHDirector · Chief Operating Officer
|
Exercise / conversion2014 Incentive RSUs Granted in 2015 · Derivative | 8,600.815 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-027603 · doc4.xml · derivative · entry 6 CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,600.815 Underlying: Class A Common Stock · 8,600.815 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. F6 · security: The RSUs were settled for Class A common stock on May 1, 2019. F6 · derivative.exercise_price: The RSUs were settled for Class A common stock on May 1, 2019. F6 · derivative.exercise_date: The RSUs were settled for Class A common stock on May 1, 2019. F6 · derivative.expiration_date: The RSUs were settled for Class A common stock on May 1, 2019. Read SEC document |
| May 01, 2019 Filed May 4, 2019 01:07 UTC |
CRAIN ELIZABETHDirector · Chief Operating Officer
|
Exercise / conversion2014 Incentive Restricted Stock Units · Derivative | 9,987.422 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-027603 · doc4.xml · derivative · entry 5 CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 9,987.422 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. F6 · security: The RSUs were settled for Class A common stock on May 1, 2019. F6 · derivative.exercise_price: The RSUs were settled for Class A common stock on May 1, 2019. F6 · derivative.exercise_date: The RSUs were settled for Class A common stock on May 1, 2019. F6 · derivative.expiration_date: The RSUs were settled for Class A common stock on May 1, 2019. Read SEC document |
| May 01, 2019 Filed May 4, 2019 01:07 UTC |
CRAIN ELIZABETHDirector · Chief Operating Officer
|
Exercise / conversionClass A Common Stock | 698 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-027603 · doc4.xml · nonDerivative · entry 4 CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 698 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: Represents transactions by Trust U/Article Second (B) of the Elizabeth A. Crain GRAT U/A 9-3--2010. Ms. Crain may have indirect voting power and dispositive power over the assets of the trust as a result of her relationship to the trustee. F5 · price: On May 1, 2019 certain of the holder's partnership interests ("Partnership Interests") in Moelis & Company Partner Holdings LP ("Partner Holdings") were exchanged for an equal number of Class A partnership units ("Group Units") in Moelis & Company Group LP ("Group LP") and the Group Units were exchanged for an equal number of shares of Moelis & Company Class A common stock. The exchanges were approved by the Company's board of directors under Rule 16b-3. F4 · ownership.nature: Represents transactions by Trust U/Article Second (B) of the Elizabeth A. Crain GRAT U/A 9-3--2010. Ms. Crain may have indirect voting power and dispositive power over the assets of the trust as a result of her relationship to the trustee. Read SEC document |
| May 01, 2019 Filed May 4, 2019 01:07 UTC |
CRAIN ELIZABETHDirector · Chief Operating Officer
|
SaleClass A Common Stock | 16,971 | $37.50 | $636,412.50 |
DisclosureSEC source: 0001209191-19-027603 · doc4.xml · nonDerivative · entry 3 CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,969 Read SEC document |
| May 01, 2019 Filed May 4, 2019 01:07 UTC |
CRAIN ELIZABETHDirector · Chief Operating Officer
|
Disposition to issuerClass A Common Stock | 2.595 | $97.34 | $252.60 |
DisclosureSEC source: 0001209191-19-027603 · doc4.xml · nonDerivative · entry 2 CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,940 F2 · shares: Pursuant to the terms of the RSUs, fractional shares were settled in cash. F3 · price: Based on the price per share of Class A common stock of $37.50. Read SEC document |
| May 01, 2019 Filed May 4, 2019 01:07 UTC |
CRAIN ELIZABETHDirector · Chief Operating Officer
|
Exercise / conversionClass A Common Stock | 33,942.595 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-027603 · doc4.xml · nonDerivative · entry 1 CRAIN ELIZABETH · CIK 0001604659 · Director · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,942.595 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 |
| May 01, 2019 Filed May 4, 2019 00:59 UTC Amendment |
RAICH JEFFREYDirector · Co-President, MD
|
Exercise / conversion2017 Incentive RSUs · Derivative | 18,038.347 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-027601 · doc4a.xml · derivative · entry 8 RAICH JEFFREY · CIK 0001604691 · Director · Co-President, MD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,155.673 Underlying: Class A Common Stock · 18,038.347 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 May 1, 2019. F4 · derivative.exercise_price: The RSUs were settled for Class A common stock on May 1, 2019. F4 · derivative.exercise_date: The RSUs were settled for Class A common stock on May 1, 2019. F4 · derivative.expiration_date: The RSUs were settled for Class A common stock on May 1, 2019. Read SEC document |
| May 01, 2019 Filed May 4, 2019 00:59 UTC Amendment |
RAICH JEFFREYDirector · Co-President, MD
|
Exercise / conversion2016 Incentive RSUs · Derivative | 22,165.383 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-027601 · doc4a.xml · derivative · entry 7 RAICH JEFFREY · CIK 0001604691 · Director · Co-President, MD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,496.149 Underlying: Class A Common Stock · 22,165.383 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 May 1, 2019. F4 · derivative.exercise_price: The RSUs were settled for Class A common stock on May 1, 2019. F4 · derivative.exercise_date: The RSUs were settled for Class A common stock on May 1, 2019. F4 · derivative.expiration_date: The RSUs were settled for Class A common stock on May 1, 2019. Read SEC document |
| May 01, 2019 Filed May 4, 2019 00:59 UTC Amendment |
RAICH JEFFREYDirector · Co-President, MD
|
Exercise / conversion2015 Incentive RSUs · Derivative | 27,218.491 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-027601 · doc4a.xml · derivative · entry 6 RAICH JEFFREY · CIK 0001604691 · Director · Co-President, MD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,436.981 Underlying: Class A Common Stock · 27,218.491 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 May 1, 2019. F4 · derivative.exercise_price: The RSUs were settled for Class A common stock on May 1, 2019. F4 · derivative.exercise_date: The RSUs were settled for Class A common stock on May 1, 2019. F4 · derivative.expiration_date: The RSUs were settled for Class A common stock on May 1, 2019. Read SEC document |
| May 01, 2019 Filed May 4, 2019 00:59 UTC Amendment |
RAICH JEFFREYDirector · Co-President, MD
|
Exercise / conversion2014 Incentive RSUs Granted in 2015 · Derivative | 49,929.754 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-027601 · doc4a.xml · derivative · entry 5 RAICH JEFFREY · CIK 0001604691 · Director · Co-President, MD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,929.752 Underlying: Class A Common Stock · 49,929.754 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 May 1, 2019. F4 · derivative.exercise_price: The RSUs were settled for Class A common stock on May 1, 2019. F4 · derivative.exercise_date: The RSUs were settled for Class A common stock on May 1, 2019. F4 · derivative.expiration_date: The RSUs were settled for Class A common stock on May 1, 2019. Read SEC document |
| May 01, 2019 Filed May 4, 2019 00:59 UTC Amendment |
RAICH JEFFREYDirector · Co-President, MD
|
Exercise / conversion2014 Incentive Restricted Stock Units · Derivative | 29,372.007 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-027601 · doc4a.xml · derivative · entry 4 RAICH JEFFREY · CIK 0001604691 · Director · Co-President, MD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 29,372.007 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 May 1, 2019. F4 · derivative.exercise_price: The RSUs were settled for Class A common stock on May 1, 2019. F4 · derivative.exercise_date: The RSUs were settled for Class A common stock on May 1, 2019. F4 · derivative.expiration_date: The RSUs were settled for Class A common stock on May 1, 2019. Read SEC document |
| May 01, 2019 Filed May 4, 2019 00:59 UTC Amendment |
RAICH JEFFREYDirector · Co-President, MD
|
SaleClass A Common Stock | 73,361 | $37.50 | $2,751,037.50 |
DisclosureSEC source: 0001209191-19-027601 · doc4a.xml · nonDerivative · entry 3 RAICH JEFFREY · CIK 0001604691 · Director · Co-President, MD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,359 Read SEC document |
| May 01, 2019 Filed May 4, 2019 00:59 UTC Amendment |
RAICH JEFFREYDirector · Co-President, MD
|
Disposition to issuerClass A Common Stock | 3.982 | $149.26 | $594.35 |
DisclosureSEC source: 0001209191-19-027601 · doc4a.xml · nonDerivative · entry 2 RAICH JEFFREY · CIK 0001604691 · Director · Co-President, MD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 146,720 F2 · shares: Pursuant to the terms of the RSUs, fractional shares were settled in cash. F3 · price: Based on the price per share of Class A common stock of $37.50. Read SEC document |
| May 01, 2019 Filed May 4, 2019 00:59 UTC Amendment |
RAICH JEFFREYDirector · Co-President, MD
|
Exercise / conversionClass A Common Stock | 146,723.982 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-027601 · doc4a.xml · nonDerivative · entry 1 RAICH JEFFREY · CIK 0001604691 · Director · Co-President, MD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 146,723.982 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 |
| May 01, 2019 Filed May 4, 2019 00:29 UTC |
Callesano ChristopherPrincipal Accounting Officer
|
Exercise / conversion2017 Incentive RSUs · Derivative | 507.189 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-027597 · doc4.xml · derivative · entry 9 Callesano Christopher · CIK 0001681752 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,523.8528 Underlying: Class A Common Stock · 507.189 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 · derivative.exercise_price: The RSUs were settled for Class A common stock on May 1, 2019. F2 · derivative.exercise_date: The RSUs were settled for Class A common stock on May 1, 2019. F2 · derivative.expiration_date: The RSUs were settled for Class A common stock on May 1, 2019. Read SEC document |
| May 01, 2019 Filed May 4, 2019 00:29 UTC |
Callesano ChristopherPrincipal Accounting Officer
|
Exercise / conversion2016 Incentive RSUs · Derivative | 734.59 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-027597 · doc4.xml · derivative · entry 8 Callesano Christopher · CIK 0001681752 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,469.1794 Underlying: Class A Common Stock · 734.59 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 · derivative.exercise_price: The RSUs were settled for Class A common stock on May 1, 2019. F2 · derivative.exercise_date: The RSUs were settled for Class A common stock on May 1, 2019. F2 · derivative.expiration_date: The RSUs were settled for Class A common stock on May 1, 2019. Read SEC document |
| May 01, 2019 Filed May 4, 2019 00:29 UTC |
Callesano ChristopherPrincipal Accounting Officer
|
Exercise / conversion2015 Incentive RSUs · Derivative | 1,033.713 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-027597 · doc4.xml · derivative · entry 7 Callesano Christopher · CIK 0001681752 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,033.7126 Underlying: Class A Common Stock · 1,033.713 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 · derivative.exercise_price: The RSUs were settled for Class A common stock on May 1, 2019. F2 · derivative.exercise_date: The RSUs were settled for Class A common stock on May 1, 2019. F2 · derivative.expiration_date: The RSUs were settled for Class A common stock on May 1, 2019. Read SEC document |
| May 01, 2019 Filed May 4, 2019 00:29 UTC |
Callesano ChristopherPrincipal Accounting Officer
|
Exercise / conversion2014 Incentive RSUs Granted in 2015 · Derivative | 588.675 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-027597 · doc4.xml · derivative · entry 6 Callesano Christopher · CIK 0001681752 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 588.675 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 · derivative.exercise_price: The RSUs were settled for Class A common stock on May 1, 2019. F2 · derivative.exercise_date: The RSUs were settled for Class A common stock on May 1, 2019. F2 · derivative.expiration_date: The RSUs were settled for Class A common stock on May 1, 2019. Read SEC document |
| May 01, 2019 Filed May 4, 2019 00:29 UTC |
Callesano ChristopherPrincipal Accounting Officer
|
Exercise / conversion2014 Incentive Restricted Stock Units · Derivative | 4,404.92 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-027597 · doc4.xml · derivative · entry 5 Callesano Christopher · CIK 0001681752 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 4,404.92 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. F2 · derivative.exercise_price: The RSUs were settled for Class A common stock on May 1, 2019. F2 · derivative.exercise_date: The RSUs were settled for Class A common stock on May 1, 2019. F2 · derivative.expiration_date: The RSUs were settled for Class A common stock on May 1, 2019. Read SEC document |
| May 01, 2019 Filed May 4, 2019 00:29 UTC |
Callesano ChristopherPrincipal Accounting Officer
|
Tax withholdingClass A Common Stock | 2,472.087 | $37.50 | $92,703.26 |
DisclosureSEC source: 0001209191-19-027597 · doc4.xml · nonDerivative · entry 2 Callesano Christopher · CIK 0001681752 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,797 Read SEC document |
| May 01, 2019 Filed May 4, 2019 00:29 UTC |
Callesano ChristopherPrincipal Accounting Officer
|
Exercise / conversionClass A Common Stock | 7,269.087 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-027597 · doc4.xml · nonDerivative · entry 1 Callesano Christopher · CIK 0001681752 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,269.087 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 |
| May 01, 2019 Filed May 4, 2019 00:49 UTC |
Cantor EricDirector · Vice Chairman, MD
|
Exercise / conversion2018 Incentive RSUs (March) · Derivative | 443.566 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-027599 · doc4.xml · derivative · entry 13 Cantor Eric · CIK 0001618434 · Director · Vice Chairman, MD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,775.365 Underlying: Class A Common Stock · 443.566 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 May 1, 2019. F2 · derivative.exercise_price: The RSUs were settled for Class A common stock on May 1, 2019. F2 · derivative.exercise_date: The RSUs were settled for Class A common stock on May 1, 2019. F2 · derivative.expiration_date: The RSUs were settled for Class A common stock on May 1, 2019. Read SEC document |
| May 01, 2019 Filed May 4, 2019 00:49 UTC |
Cantor EricDirector · Vice Chairman, MD
|
Exercise / conversion2017 Incentive RSUs (December) · Derivative | 463.78 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-027599 · doc4.xml · derivative · entry 12 Cantor Eric · CIK 0001618434 · Director · Vice Chairman, MD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,855.127 Underlying: Class A Common Stock · 463.78 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 May 1, 2019. F2 · derivative.exercise_price: The RSUs were settled for Class A common stock on May 1, 2019. F2 · derivative.exercise_date: The RSUs were settled for Class A common stock on May 1, 2019. F2 · derivative.expiration_date: The RSUs were settled for Class A common stock on May 1, 2019. Read SEC document |
| May 01, 2019 Filed May 4, 2019 00:49 UTC |
Cantor EricDirector · Vice Chairman, MD
|
Exercise / conversion2017 Incentive RSUs (March) · Derivative | 646.806 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-027599 · doc4.xml · derivative · entry 11 Cantor Eric · CIK 0001618434 · Director · Vice Chairman, MD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,940.417 Underlying: Class A Common Stock · 646.806 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 May 1, 2019. F2 · derivative.exercise_price: The RSUs were settled for Class A common stock on May 1, 2019. F2 · derivative.exercise_date: The RSUs were settled for Class A common stock on May 1, 2019. F2 · derivative.expiration_date: The RSUs were settled for Class A common stock on May 1, 2019. Read SEC document |
| May 01, 2019 Filed May 4, 2019 00:49 UTC |
Cantor EricDirector · Vice Chairman, MD
|
Exercise / conversion2017 Restricted Stock Unit Award for MD · Derivative | 6,468.057 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-027599 · doc4.xml · derivative · entry 10 Cantor Eric · CIK 0001618434 · Director · Vice Chairman, MD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,406.579 Underlying: Class A Common Stock · 6,468.057 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 May 1, 2019. F2 · derivative.exercise_price: The RSUs were settled for Class A common stock on May 1, 2019. F2 · derivative.exercise_date: The RSUs were settled for Class A common stock on May 1, 2019. F2 · derivative.expiration_date: The RSUs were settled for Class A common stock on May 1, 2019. Read SEC document |
| May 01, 2019 Filed May 4, 2019 00:49 UTC |
Cantor EricDirector · Vice Chairman, MD
|
Exercise / conversion2017 Incentive RSUs · Derivative | 5,215.825 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-027599 · doc4.xml · derivative · entry 9 Cantor Eric · CIK 0001618434 · Director · Vice Chairman, MD 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,864.442 Underlying: Class A Common Stock · 5,215.825 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 May 1, 2019. F2 · derivative.exercise_price: The RSUs were settled for Class A common stock on May 1, 2019. F2 · derivative.exercise_date: The RSUs were settled for Class A common stock on May 1, 2019. F2 · derivative.expiration_date: The RSUs were settled for Class A common stock on May 1, 2019. 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.