person · Reporting owner

LEAMAN J RICHARD III

Disclosed activity across 2 companies

Tapewire entity: 107912
SEC CIK: 0001604750

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Moelis & CoMC · Entity 3898	Director · MD & Vice Chairman	May 17, 2018	May 21, 2018

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Moelis & Co

Report date May 17, 2018 · Filed May 21, 2018

Security / award	Ownership account	Disclosed shares / units	Disclosure context
2014 Incentive Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00	Direct	16,141.04	Reported balance After 2018-05-17 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2018-05-17 · Grant · Acquired 128.76 · Balance 16,141.04 F1: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F2: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on April 15, 2014 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.
2014 Incentive RSUs Granted in 2015SEC Table II · derivative / convertible security · Conversion / exercise price $0.00	Direct	37,383.74	Reported balance After 2018-05-17 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2018-05-17 · Grant · Acquired 298.21 · Balance 37,383.74 F1: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F3: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on March 2, 2015 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.
2015 Incentive RSUsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00	Direct	33,727.15	Reported balance After 2018-05-17 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2018-05-17 · Grant · Acquired 269.04 · Balance 33,727.15 F1: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F4: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 24, 2016 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.
2016 Incentive RSUsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00	Direct	10,590.63	Reported balance After 2018-05-17 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2018-05-17 · Grant · Acquired 84.48 · Balance 10,590.63 F1: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F5: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 23, 2017 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.
2017 Incentive RSUsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00	Direct	7,961.53	Reported balance After 2018-05-17 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2018-05-17 · Grant · Acquired 63.51 · Balance 7,961.53 F1: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F6: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 15, 2018 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

Filing footnotes · ownership attribution and instrument terms

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

F2: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on April 15, 2014 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

F3: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on March 2, 2015 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

F4: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 24, 2016 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

F5: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 23, 2017 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

F6: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 15, 2018 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

AVANTAX, INC.

Report date November 27, 2023 · Filed November 29, 2023

Section 16 reporting ended · disclosed 2023-11-29. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	0	Reported balance After 2023-11-27 transaction · row 1 1 source row Row 1 · 2023-11-27 · Disposition to issuer · Disposed 22,249 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated as of September 9, 2023 (as may be amended from time to time, the "Merger Agreement") by and among the Issuer, Aretec Group, Inc., a Delaware corporation ("Parent"), and C2023 Sub Corp., a Delaware corporation and a wholly-owned subsidiary of Parent ("Acquisition Sub"), effective November 27, 2023, among other things, Acquisition Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving as a wholly-owned subsidiary of Parent. F2: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger (the "Effective Time"), these shares of the Issuer's common stock ("Common Stock") and restricted stock units of the Issuer that vest solely on the basis of time ("RSUs") were automatically canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the reported number of shares multiplied by (ii) $26.00 (less any required tax withholdings).

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the Agreement and Plan of Merger, dated as of September 9, 2023 (as may be amended from time to time, the "Merger Agreement") by and among the Issuer, Aretec Group, Inc., a Delaware corporation ("Parent"), and C2023 Sub Corp., a Delaware corporation and a wholly-owned subsidiary of Parent ("Acquisition Sub"), effective November 27, 2023, among other things, Acquisition Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving as a wholly-owned subsidiary of Parent.

F2: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger (the "Effective Time"), these shares of the Issuer's common stock ("Common Stock") and restricted stock units of the Issuer that vest solely on the basis of time ("RSUs") were automatically canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the reported number of shares multiplied by (ii) $26.00 (less any required tax withholdings).

Transaction history

JSON API

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	Company	Activity / security	Shares / units	Reported price	Reported value	Details
November 27, 2023 Filed Nov 29, 2023 15:26 UTC	AVANTAX, INC. AVTA · Entity 107910	Disposition to issuerCommon Stock	22,249	$26.00	$578,474.00	Disclosure SEC source: 0001068875-23-000128 · wk-form4_1701289576.xml · nonDerivative · entry 1 LEAMAN J RICHARD III · CIK 0001604750 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · kind: Pursuant to the Agreement and Plan of Merger, dated as of September 9, 2023 (as may be amended from time to time, the "Merger Agreement") by and among the Issuer, Aretec Group, Inc., a Delaware corporation ("Parent"), and C2023 Sub Corp., a Delaware corporation and a wholly-owned subsidiary of Parent ("Acquisition Sub"), effective November 27, 2023, among other things, Acquisition Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving as a wholly-owned subsidiary of Parent. F2 · kind: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger (the "Effective Time"), these shares of the Issuer's common stock ("Common Stock") and restricted stock units of the Issuer that vest solely on the basis of time ("RSUs") were automatically canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the reported number of shares multiplied by (ii) $26.00 (less any required tax withholdings). Read SEC document
May 04, 2023 Filed May 8, 2023 16:43 UTC	AVANTAX, INC. AVTA · Entity 107910	GrantCommon Stock	6,084	$0.00	$0.00	Disclosure SEC source: 0001068875-23-000082 · wf-form4_168357860929897.xml · nonDerivative · entry 1 LEAMAN J RICHARD III · CIK 0001604750 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 22,249 F1 · shares: Reflects a grant of restricted stock units ("RSUs") that was made to the reporting person on May 4, 2023 and that will vest on the earlier of the one-year anniversary of the date of grant or the first annual shareholder's meeting after the grant date. Read SEC document
May 23, 2022 Filed Jan 20, 2023 21:20 UTC	AVANTAX, INC. BCOR · Entity 107910	GrantCommon Stock	1,213	$0.00	$0.00	Disclosure SEC source: 0001068875-23-000023 · wf-form4_167426759197584.xml · nonDerivative · entry 1 LEAMAN J RICHARD III · CIK 0001604750 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,165 F1 · shares: Reflects a grant of restricted stock units that will vest on the earlier of the one-year anniversary of the date of grant or the first annual stockholders meeting after the grant date. Read SEC document
April 20, 2022 Filed Apr 22, 2022 18:22 UTC	AVANTAX, INC. BCOR · Entity 107910	GrantCommon Stock	5,946	$0.00	$0.00	Disclosure SEC source: 0001068875-22-000061 · wf-form4_165066613897683.xml · nonDerivative · entry 1 LEAMAN J RICHARD III · CIK 0001604750 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,952 F1 · shares: Reflects a grant of restricted stock units ("RSUs") that was made to the reporting person on April 20, 2022 and that will vest on the earlier of the one-year anniversary of the date of grant or the first annual meeting of stockholders after the grant date. Read SEC document
March 11, 2022 Filed Mar 15, 2022 17:12 UTC	AVANTAX, INC. BCOR · Entity 107910	GrantCommon Stock	805	$0.00	$0.00	Disclosure SEC source: 0001068875-22-000051 · wf-form4_164737873581721.xml · nonDerivative · entry 2 LEAMAN J RICHARD III · CIK 0001604750 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,006 F2 · shares: Reflects a pro-rated annual grant of RSUs that will vest on the one-year anniversary of the date of grant. Read SEC document
March 11, 2022 Filed Mar 15, 2022 17:12 UTC	AVANTAX, INC. BCOR · Entity 107910	GrantCommon Stock	8,201	$0.00	$0.00	Disclosure SEC source: 0001068875-22-000051 · wf-form4_164737873581721.xml · nonDerivative · entry 1 LEAMAN J RICHARD III · CIK 0001604750 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,201 F1 · shares: Reflects an initial grant of restricted stock units ("RSUs") that was made to the reporting person upon joining the Board of Directors that will vest equally over a three-year period on each anniversary of the date of grant. Read SEC document
May 17, 2018 Filed May 21, 2018 20:29 UTC	Moelis & Co MC · Entity 3898	Grant2017 Incentive RSUs · Derivative	63.51	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001179110-18-007233 · edgar.xml · derivative · entry 5 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,961.53 Underlying: Class A Common Stock · 63.51 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F6 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 15, 2018 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F6 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 15, 2018 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
May 17, 2018 Filed May 21, 2018 20:29 UTC	Moelis & Co MC · Entity 3898	Grant2016 Incentive RSUs · Derivative	84.48	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001179110-18-007233 · edgar.xml · derivative · entry 4 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,590.63 Underlying: Class A Common Stock · 84.48 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F5 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 23, 2017 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F5 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 23, 2017 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
May 17, 2018 Filed May 21, 2018 20:29 UTC	Moelis & Co MC · Entity 3898	Grant2015 Incentive RSUs · Derivative	269.04	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001179110-18-007233 · edgar.xml · derivative · entry 3 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,727.15 Underlying: Class A Common Stock · 269.04 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F4 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 24, 2016 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F4 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 24, 2016 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
May 17, 2018 Filed May 21, 2018 20:29 UTC	Moelis & Co MC · Entity 3898	Grant2014 Incentive RSUs Granted in 2015 · Derivative	298.21	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001179110-18-007233 · edgar.xml · derivative · entry 2 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,383.74 Underlying: Class A Common Stock · 298.21 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F3 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on March 2, 2015 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F3 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on March 2, 2015 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
May 17, 2018 Filed May 21, 2018 20:29 UTC	Moelis & Co MC · Entity 3898	Grant2014 Incentive Restricted Stock Units · Derivative	128.76	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001179110-18-007233 · edgar.xml · derivative · entry 1 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,141.04 Underlying: Class A Common Stock · 128.76 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F2 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on April 15, 2014 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F2 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on April 15, 2014 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
April 25, 2018 Filed Apr 26, 2018 21:27 UTC	Moelis & Co MC · Entity 3898	SaleClass A Common Stock	8,003	$53.76	$430,218.07	Disclosure SEC source: 0001179110-18-005900 · edgar.xml · nonDerivative · entry 4 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document
April 24, 2018 Filed Apr 26, 2018 21:27 UTC	Moelis & Co MC · Entity 3898	Exercise / conversion2014 Incentive Restricted Stock Units · Derivative	16,006.949	$0.00	$0.00	Disclosure SEC source: 0001179110-18-005900 · edgar.xml · derivative · entry 5 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,012.29 Underlying: Class A Common Stock · 16,006.949 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 April 24, 2018. F4 · derivative.exercise_price: The RSUs were settled for Class A common stock on April 24, 2018. F4 · derivative.exercise_date: The RSUs were settled for Class A common stock on April 24, 2018. F4 · derivative.expiration_date: The RSUs were settled for Class A common stock on April 24, 2018. Read SEC document
April 24, 2018 Filed Apr 26, 2018 21:27 UTC	Moelis & Co MC · Entity 3898	SaleClass A Common Stock	8,003	$54.45	$435,763.35	Disclosure SEC source: 0001179110-18-005900 · edgar.xml · nonDerivative · entry 3 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,003 Read SEC document
April 24, 2018 Filed Apr 26, 2018 21:27 UTC	Moelis & Co MC · Entity 3898	Disposition to issuerClass A Common Stock	0.949	$51.67	$49.03	Disclosure SEC source: 0001179110-18-005900 · edgar.xml · nonDerivative · entry 2 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,006 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 $54.45. Read SEC document
April 24, 2018 Filed Apr 26, 2018 21:27 UTC	Moelis & Co MC · Entity 3898	Exercise / conversionClass A Common Stock	16,006.949	Not disclosed	Not disclosed	Disclosure SEC source: 0001179110-18-005900 · edgar.xml · nonDerivative · entry 1 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,006.949 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
March 14, 2018 Filed Mar 16, 2018 20:52 UTC	Moelis & Co MC · Entity 3898	Disposition to issuerPartnership Interests · Derivative	13,068	$50.00 Strike: $50.00	$653,400.00	Disclosure SEC source: 0001179110-18-004481 · edgar.xml · derivative · entry 2 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 41,762 Underlying: Class A Common Stock, par value $0.01 · 13,068 shares Expires not disclosed F1 · security: Represents partnership interest in Moelis & Company Partner Holdings LP ("Partner Holdings") which are exchangeable for Class A partnership units in Moelis & Company Group LP ("Group LP"). Each Group LP Class A partnership unit is exchangeable for a share of Moelis & Company Class A common stock (subject to customary adjustments), or cash, at Group LP's option. F4 · security: Represents transaction by Family Trust Created Under the J. Richard Leaman III 2010 Grantor Retained Annuity Trust , of which Mr. Leaman's children are the primary beneficiaries. Mr. Leaman may have indirect voting and dispositive power over the assets of the trust as a result of his relationship to the trustee F2 · kind: In connection with the public offering of Moelis & Company common stock closed on March 14, 2018, Moelis & Company purchased such Partnership Interests from the reporting person using the proceeds of the offering. The transaction was approved by the Company's board of directors pursuant to rule 16b-3. F3 · derivative.exercise_date: Pursuant to Group LP's agreement of limited partnership, Group LP Class A partnership units held by the reporting person are not exchangeable for Moelis & Company Class A common stock until the expiration or waiver of certain lock-up periods, commencing on the fourth anniversary of the closing of the initial public offering of Moelis & Company Class A common stock. F3 · derivative.expiration_date: Pursuant to Group LP's agreement of limited partnership, Group LP Class A partnership units held by the reporting person are not exchangeable for Moelis & Company Class A common stock until the expiration or waiver of certain lock-up periods, commencing on the fourth anniversary of the closing of the initial public offering of Moelis & Company Class A common stock. F4 · ownership.nature: Represents transaction by Family Trust Created Under the J. Richard Leaman III 2010 Grantor Retained Annuity Trust , of which Mr. Leaman's children are the primary beneficiaries. Mr. Leaman may have indirect voting and dispositive power over the assets of the trust as a result of his relationship to the trustee Read SEC document
March 14, 2018 Filed Mar 16, 2018 20:52 UTC	Moelis & Co MC · Entity 3898	Disposition to issuerPartnership Interests · Derivative	100,164	$50.00 Strike: $50.00	$5,008,200.00	Disclosure SEC source: 0001179110-18-004481 · edgar.xml · derivative · entry 1 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 320,112 Underlying: Class A Common Stock, par value $0.01 · 100,164 shares Expires not disclosed F1 · security: Represents partnership interest in Moelis & Company Partner Holdings LP ("Partner Holdings") which are exchangeable for Class A partnership units in Moelis & Company Group LP ("Group LP"). Each Group LP Class A partnership unit is exchangeable for a share of Moelis & Company Class A common stock (subject to customary adjustments), or cash, at Group LP's option. F2 · kind: In connection with the public offering of Moelis & Company common stock closed on March 14, 2018, Moelis & Company purchased such Partnership Interests from the reporting person using the proceeds of the offering. The transaction was approved by the Company's board of directors pursuant to rule 16b-3. F3 · derivative.exercise_date: Pursuant to Group LP's agreement of limited partnership, Group LP Class A partnership units held by the reporting person are not exchangeable for Moelis & Company Class A common stock until the expiration or waiver of certain lock-up periods, commencing on the fourth anniversary of the closing of the initial public offering of Moelis & Company Class A common stock. F3 · derivative.expiration_date: Pursuant to Group LP's agreement of limited partnership, Group LP Class A partnership units held by the reporting person are not exchangeable for Moelis & Company Class A common stock until the expiration or waiver of certain lock-up periods, commencing on the fourth anniversary of the closing of the initial public offering of Moelis & Company Class A common stock. Read SEC document
March 07, 2018 Filed Mar 9, 2018 21:03 UTC	Moelis & Co MC · Entity 3898	Grant2017 Incentive RSUs · Derivative	288.03	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001179110-18-003947 · edgar.xml · derivative · entry 5 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,898.03 Underlying: Class A Common Stock · 288.03 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F6 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 15, 2018 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F6 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 15, 2018 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
March 07, 2018 Filed Mar 9, 2018 21:03 UTC	Moelis & Co MC · Entity 3898	Grant2016 Incentive RSUs · Derivative	383.14	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001179110-18-003947 · edgar.xml · derivative · entry 4 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,506.15 Underlying: Class A Common Stock · 383.14 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F5 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 23, 2017 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F5 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 23, 2017 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
March 07, 2018 Filed Mar 9, 2018 21:03 UTC	Moelis & Co MC · Entity 3898	Grant2015 Incentive RSUs · Derivative	1,220.15	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001179110-18-003947 · edgar.xml · derivative · entry 3 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,458.11 Underlying: Class A Common Stock · 1,220.15 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F4 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 24, 2016 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F4 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 24, 2016 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
March 07, 2018 Filed Mar 9, 2018 21:03 UTC	Moelis & Co MC · Entity 3898	Grant2014 Incentive RSUs Granted in 2015 · Derivative	1,352.43	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001179110-18-003947 · edgar.xml · derivative · entry 2 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,085.53 Underlying: Class A Common Stock · 1,352.43 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F3 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on March 2, 2015 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F3 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on March 2, 2015 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
March 07, 2018 Filed Mar 9, 2018 21:03 UTC	Moelis & Co MC · Entity 3898	Grant2014 Incentive Restricted Stock Units · Derivative	1,167.68	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001179110-18-003947 · edgar.xml · derivative · entry 1 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,019.23 Underlying: Class A Common Stock · 1,167.68 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F2 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on April 15, 2014 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F2 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on April 15, 2014 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
February 27, 2018 Filed Mar 1, 2018 22:07 UTC	Moelis & Co MC · Entity 3898	SaleClass A Common Stock	10,568	$51.47	$543,902.20	Disclosure SEC source: 0001179110-18-003162 · edgar.xml · nonDerivative · entry 1 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document
February 26, 2018 Filed Feb 26, 2018 22:32 UTC	Moelis & Co MC · Entity 3898	SaleClass A Common S tock	4,000	$51.34	$205,374.40	Disclosure SEC source: 0001179110-18-002896 · edgar.xml · nonDerivative · entry 5 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,568 Read SEC document
February 23, 2018 Filed Feb 26, 2018 22:32 UTC	Moelis & Co MC · Entity 3898	SaleClass A Common Stock	1,000	$51.35	$51,350.00	Disclosure SEC source: 0001179110-18-002896 · edgar.xml · nonDerivative · entry 4 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,568 Read SEC document
February 22, 2018 Filed Feb 26, 2018 22:32 UTC	Moelis & Co MC · Entity 3898	Exercise / conversion2016 Incentive RSUs · Derivative	2,530.7534	$0.00	$0.00	Disclosure SEC source: 0001179110-18-002896 · edgar.xml · derivative · entry 8 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,123.01 Underlying: Class A Common Stock · 2,530.7534 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 22, 2018. F4 · derivative.exercise_price: The RSUs were settled for Class A common stock on February 22, 2018. F4 · derivative.exercise_date: The RSUs were settled for Class A common stock on February 22, 2018. F4 · derivative.expiration_date: The RSUs were settled for Class A common stock on February 22, 2018. Read SEC document
February 22, 2018 Filed Feb 26, 2018 22:32 UTC	Moelis & Co MC · Entity 3898	Exercise / conversion2015 Incentive RSUs · Derivative	10,744.8458	$0.00	$0.00	Disclosure SEC source: 0001179110-18-002896 · edgar.xml · derivative · entry 7 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,237.96 Underlying: Class A Common Stock · 10,744.8458 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 22, 2018. F4 · derivative.exercise_price: The RSUs were settled for Class A common stock on February 22, 2018. F4 · derivative.exercise_date: The RSUs were settled for Class A common stock on February 22, 2018. F4 · derivative.expiration_date: The RSUs were settled for Class A common stock on February 22, 2018. Read SEC document
February 22, 2018 Filed Feb 26, 2018 22:32 UTC	Moelis & Co MC · Entity 3898	Exercise / conversion2014 Incentive RSUs Granted in 2015 · Derivative	17,866.5479	$0.00	$0.00	Disclosure SEC source: 0001179110-18-002896 · edgar.xml · derivative · entry 6 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,733.1 Underlying: Class A Common Stock · 17,866.5479 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 22, 2018. F4 · derivative.exercise_price: The RSUs were settled for Class A common stock on February 22, 2018. F4 · derivative.exercise_date: The RSUs were settled for Class A common stock on February 22, 2018. F4 · derivative.expiration_date: The RSUs were settled for Class A common stock on February 22, 2018. Read SEC document
February 22, 2018 Filed Feb 26, 2018 22:32 UTC	Moelis & Co MC · Entity 3898	SaleClass A Common Stock	15,572	$50.00	$778,600.00	Disclosure SEC source: 0001179110-18-002896 · edgar.xml · nonDerivative · entry 3 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,568 Read SEC document
February 22, 2018 Filed Feb 26, 2018 22:32 UTC	Moelis & Co MC · Entity 3898	Disposition to issuerClass A Common Stock	2.1471	$107.36	$230.51	Disclosure SEC source: 0001179110-18-002896 · edgar.xml · nonDerivative · entry 2 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,140 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 $50.00. Read SEC document
February 22, 2018 Filed Feb 26, 2018 22:32 UTC	Moelis & Co MC · Entity 3898	Exercise / conversionClass A Common Stock	31,142.1471	Not disclosed	Not disclosed	Disclosure SEC source: 0001179110-18-002896 · edgar.xml · nonDerivative · entry 1 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,142.1471 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 15, 2018 Filed Feb 20, 2018 21:24 UTC	Moelis & Co MC · Entity 3898	Grant2017 Incentive RSUs · Derivative	7,610	$0.00	$0.00	Disclosure SEC source: 0001179110-18-002381 · edgar.xml · derivative · entry 1 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,610 Underlying: Class A Common Stock · 7,610 shares Expires not disclosed F1 · security: Each 2017 Incentive RSU represents 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. Grant of Restricted Stock Units pursuant to the Moelis & Company 2014 Omnibus Incentive Plan. F1 · derivative.exercise_price: Each 2017 Incentive RSU represents 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. Grant of Restricted Stock Units pursuant to the Moelis & Company 2014 Omnibus Incentive Plan. F2 · derivative.exercise_date: The 2017 Incentive Restricted Stock Units vest in equal installments on February 23, 2019, February 23, 2020, February 23, 2021, February 23, 2022, and February 23, 2023. F2 · derivative.expiration_date: The 2017 Incentive Restricted Stock Units vest in equal installments on February 23, 2019, February 23, 2020, February 23, 2021, February 23, 2022, and February 23, 2023. Read SEC document
November 20, 2017 Filed Nov 22, 2017 21:32 UTC	Moelis & Co MC · Entity 3898	Grant2016 Incentive RSUs · Derivative	101.08	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001179110-17-014554 · edgar.xml · derivative · entry 4 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,653.77 Underlying: Class A Common Stock · 101.08 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F5 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 23, 2017 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F5 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 23, 2017 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
November 20, 2017 Filed Nov 22, 2017 21:32 UTC	Moelis & Co MC · Entity 3898	Grant2015 Incentive RSUs · Derivative	343.34	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001179110-17-014554 · edgar.xml · derivative · entry 3 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,982.81 Underlying: Class A Common Stock · 343.34 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F4 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 24, 2016 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F4 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 24, 2016 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
November 20, 2017 Filed Nov 22, 2017 21:32 UTC	Moelis & Co MC · Entity 3898	Grant2014 Incentive RSUs Granted in 2015 · Derivative	428.15	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001179110-17-014554 · edgar.xml · derivative · entry 2 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,599.64 Underlying: Class A Common Stock · 428.15 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F3 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on March 2, 2015 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F3 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on March 2, 2015 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
November 20, 2017 Filed Nov 22, 2017 21:32 UTC	Moelis & Co MC · Entity 3898	Grant2014 Incentive Restricted Stock Units · Derivative	246.44	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001179110-17-014554 · edgar.xml · derivative · entry 1 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,851.56 Underlying: Class A Common Stock · 246.44 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F2 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on April 15, 2014 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F2 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on April 15, 2014 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
August 17, 2017 Filed Aug 21, 2017 22:16 UTC	Moelis & Co MC · Entity 3898	Grant2016 Incentive RSUs · Derivative	119.64	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001179110-17-011709 · edgar.xml · derivative · entry 4 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,552.69 Underlying: Class A Common Stock · 119.64 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F5 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 23, 2017 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F5 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 23, 2017 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
August 17, 2017 Filed Aug 21, 2017 22:16 UTC	Moelis & Co MC · Entity 3898	Grant2015 Incentive RSUs · Derivative	406.4	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001179110-17-011709 · edgar.xml · derivative · entry 3 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,639.47 Underlying: Class A Common Stock · 406.4 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F4 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 24, 2016 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F4 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 24, 2016 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
August 17, 2017 Filed Aug 21, 2017 22:16 UTC	Moelis & Co MC · Entity 3898	Grant2014 Incentive RSUs Granted in 2015 · Derivative	506.79	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001179110-17-011709 · edgar.xml · derivative · entry 2 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,171.49 Underlying: Class A Common Stock · 506.79 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F3 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on March 2, 2015 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F3 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on March 2, 2015 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
August 17, 2017 Filed Aug 21, 2017 22:16 UTC	Moelis & Co MC · Entity 3898	Grant2014 Incentive Restricted Stock Units · Derivative	291.7	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001179110-17-011709 · edgar.xml · derivative · entry 1 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,605.12 Underlying: Class A Common Stock · 291.7 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F2 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on April 15, 2014 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F2 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on April 15, 2014 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
July 28, 2017 Filed Aug 1, 2017 20:20 UTC	Moelis & Co MC · Entity 3898	Disposition to issuerPartnership Interests · Derivative	16,035	$41.61 Strike: $41.61	$667,216.35	Disclosure SEC source: 0001179110-17-010876 · edgar.xml · derivative · entry 2 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 54,830 Underlying: Class A Common Stock, par value $0.01 · 16,035 shares Expires not disclosed F1 · security: Represents partnership interest in Moelis & Company Partner Holdings LP ("Partner Holdings") which are exchangeable for Class A partnership units in Moelis & Company Group LP ("Group LP"). Each Group LP Class A partnership unit is exchangeable for a share of Moelis & Company Class A common stock (subject to customary adjustments), or cash, at Group LP's option. F4 · security: Represents transaction by Family Trust Created Under the J. Richard Leaman III 2010 Grantor Retained Annuity Trust , of which Mr. Leaman's children are the primary beneficiaries. Mr. Leaman may have indirect voting and dispositive power over the assets of the trust as a result of his relationship to the trustee F2 · kind: In connection with the public offering of Moelis & Company common stock closed on July 28, 2017, Moelis & Company purchased such Partnership Interests from the reporting person using the proceeds of the offering. The transaction was approved by the Company's board of directors pursuant to rule 16b-3. F3 · derivative.exercise_date: Pursuant to Group LP's agreement of limited partnership, Group LP Class A partnership units held by the reporting person are not exchangeable for Moelis & Company Class A common stock until the expiration or waiver of certain lock-up periods, commencing on the fourth anniversary of the closing of the initial public offering of Moelis & Company Class A common stock. F3 · derivative.expiration_date: Pursuant to Group LP's agreement of limited partnership, Group LP Class A partnership units held by the reporting person are not exchangeable for Moelis & Company Class A common stock until the expiration or waiver of certain lock-up periods, commencing on the fourth anniversary of the closing of the initial public offering of Moelis & Company Class A common stock. F4 · ownership.nature: Represents transaction by Family Trust Created Under the J. Richard Leaman III 2010 Grantor Retained Annuity Trust , of which Mr. Leaman's children are the primary beneficiaries. Mr. Leaman may have indirect voting and dispositive power over the assets of the trust as a result of his relationship to the trustee Read SEC document
July 28, 2017 Filed Aug 1, 2017 20:20 UTC	Moelis & Co MC · Entity 3898	Disposition to issuerPartnership Interests · Derivative	122,906	$41.61 Strike: $41.61	$5,114,118.66	Disclosure SEC source: 0001179110-17-010876 · edgar.xml · derivative · entry 1 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 420,276 Underlying: Class A Common Stock, par value $0.01 · 122,906 shares Expires not disclosed F1 · security: Represents partnership interest in Moelis & Company Partner Holdings LP ("Partner Holdings") which are exchangeable for Class A partnership units in Moelis & Company Group LP ("Group LP"). Each Group LP Class A partnership unit is exchangeable for a share of Moelis & Company Class A common stock (subject to customary adjustments), or cash, at Group LP's option. F2 · kind: In connection with the public offering of Moelis & Company common stock closed on July 28, 2017, Moelis & Company purchased such Partnership Interests from the reporting person using the proceeds of the offering. The transaction was approved by the Company's board of directors pursuant to rule 16b-3. F3 · derivative.exercise_date: Pursuant to Group LP's agreement of limited partnership, Group LP Class A partnership units held by the reporting person are not exchangeable for Moelis & Company Class A common stock until the expiration or waiver of certain lock-up periods, commencing on the fourth anniversary of the closing of the initial public offering of Moelis & Company Class A common stock. F3 · derivative.expiration_date: Pursuant to Group LP's agreement of limited partnership, Group LP Class A partnership units held by the reporting person are not exchangeable for Moelis & Company Class A common stock until the expiration or waiver of certain lock-up periods, commencing on the fourth anniversary of the closing of the initial public offering of Moelis & Company Class A common stock. Read SEC document
July 06, 2017 Filed Jul 10, 2017 20:47 UTC	Moelis & Co MC · Entity 3898	Grant2016 Incentive RSUs · Derivative	309.67	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001179110-17-010264 · edgar.xml · derivative · entry 4 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,433.05 Underlying: Class A Common Stock · 309.67 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F5 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 23, 2017 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F5 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 23, 2017 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
July 06, 2017 Filed Jul 10, 2017 20:47 UTC	Moelis & Co MC · Entity 3898	Grant2015 Incentive RSUs · Derivative	1,051.88	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001179110-17-010264 · edgar.xml · derivative · entry 3 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,233.06 Underlying: Class A Common Stock · 1,051.88 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F4 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 24, 2016 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F4 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 24, 2016 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
July 06, 2017 Filed Jul 10, 2017 20:47 UTC	Moelis & Co MC · Entity 3898	Grant2014 Incentive RSUs Granted in 2015 · Derivative	1,311.7	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001179110-17-010264 · edgar.xml · derivative · entry 2 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,664.71 Underlying: Class A Common Stock · 1,311.7 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F3 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on March 2, 2015 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F3 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on March 2, 2015 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
July 06, 2017 Filed Jul 10, 2017 20:47 UTC	Moelis & Co MC · Entity 3898	Grant2014 Incentive Restricted Stock Units · Derivative	755	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001179110-17-010264 · edgar.xml · derivative · entry 1 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,313.42 Underlying: Class A Common Stock · 755 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F2 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on April 15, 2014 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F2 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on April 15, 2014 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
May 24, 2017 Filed May 26, 2017 20:24 UTC	Moelis & Co MC · Entity 3898	Grant2016 Incentive RSUs · Derivative	122.66	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001179110-17-008082 · edgar.xml · derivative · entry 4 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,123.38 Underlying: Class A Common Stock · 122.66 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F5 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 23, 2017 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F5 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 23, 2017 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
May 24, 2017 Filed May 26, 2017 20:24 UTC	Moelis & Co MC · Entity 3898	Grant2015 Incentive RSUs · Derivative	416.65	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001179110-17-008082 · edgar.xml · derivative · entry 3 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,181.18 Underlying: Class A Common Stock · 416.65 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F4 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 24, 2016 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F4 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 24, 2016 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
May 24, 2017 Filed May 26, 2017 20:24 UTC	Moelis & Co MC · Entity 3898	Grant2014 Incentive RSUs Granted in 2015 · Derivative	519.57	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001179110-17-008082 · edgar.xml · derivative · entry 2 LEAMAN J RICHARD III · CIK 0001604750 · Director · MD & Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,353.01 Underlying: Class A Common Stock · 519.57 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F3 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on March 2, 2015 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F3 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on March 2, 2015 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. 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.