person · Reporting owner

MOELIS KENNETH

Disclosed activity across 5 companies

Tapewire entity: 65380
SEC CIK: 0001604686

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Atlas Crest Investment Corp. IIACII.U · Entity 126082	Director · 10% owner	February 03, 2021	February 03, 2021
Moelis & CoMC · Entity 3898	Director · Executive Chairman	February 18, 2026	February 20, 2026
Steele Creek Capital CorpNONE · Entity 122100	10% owner	November 24, 2020	December 09, 2020

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.

Atlas Crest Investment Corp. II

Report date February 03, 2021 · Filed February 03, 2021

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class B Common StockSEC Table II · derivative / convertible security	IndirectSee Footnote	Not disclosed	Reported balance Holding disclosure · report date 2021-02-03 · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · Balance Not disclosed F1: As described in the registrant's registration statement on Form S-1 (File No. 333-251893) (the "Registration Statement") under the heading "Description of Securities--Founder Shares," the shares of Class B common stock, par value $0.0001 per share, will automatically convert into shares of Class A common stock, par value $0.0001 per share, at the time of the registrant's initial business combination, on a one-for-one basis, subject to certain adjustments described therein and have no expiration date. F2: These shares represent Class B common stock held by Atlas Crest Investment II LLC (the "Sponsor") acquired pursuant to a subscription agreement by and between the Sponsor and the registrant. The Class B common stock owned by the Sponsor includes up to 1,125,000 shares that are subject to forfeiture in the event the underwriters of the registrant's initial public offering do not exercise their over-allotment option in full as described in the Registration Statement. F3: The Reporting Person is the sole managing member of Atlas Crest II Manager LLC, the managing member of the Sponsor. The Reporting Person has voting and investment discretion with respect to the common stock held of record by the Sponsor. The Reporting Person disclaims any beneficial ownership of any shares held by the Sponsor except to the extent of his ultimate pecuniary interest.

Filing footnotes · ownership attribution and instrument terms

F1: As described in the registrant's registration statement on Form S-1 (File No. 333-251893) (the "Registration Statement") under the heading "Description of Securities--Founder Shares," the shares of Class B common stock, par value $0.0001 per share, will automatically convert into shares of Class A common stock, par value $0.0001 per share, at the time of the registrant's initial business combination, on a one-for-one basis, subject to certain adjustments described therein and have no expiration date.

F2: These shares represent Class B common stock held by Atlas Crest Investment II LLC (the "Sponsor") acquired pursuant to a subscription agreement by and between the Sponsor and the registrant. The Class B common stock owned by the Sponsor includes up to 1,125,000 shares that are subject to forfeiture in the event the underwriters of the registrant's initial public offering do not exercise their over-allotment option in full as described in the Registration Statement.

F3: The Reporting Person is the sole managing member of Atlas Crest II Manager LLC, the managing member of the Sponsor. The Reporting Person has voting and investment discretion with respect to the common stock held of record by the Sponsor. The Reporting Person disclaims any beneficial ownership of any shares held by the Sponsor except to the extent of his ultimate pecuniary interest.

Moelis & Co

Report date February 18, 2026 · Filed February 20, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class B Common Stock, par value $0.01SEC Table II · derivative / convertible security	Direct	4,190,479	Reported balance After 2026-02-18 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2026-02-18 · Exercise / conversion · Disposed 847 · Balance 4,190,479 F1: The conversion covered by this footnote automatically occurred pursuant to the terms of the Company's Amended and Restated Certificate of Incorporation when certain Group Units were exchanged for Class A common stock by certain selling Stockholders. F2: 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.

Filing footnotes · ownership attribution and instrument terms

F1: The conversion covered by this footnote automatically occurred pursuant to the terms of the Company's Amended and Restated Certificate of Incorporation when certain Group Units were exchanged for Class A common stock by certain selling Stockholders.

F2: 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.

Steele Creek Capital Corp

Report date November 24, 2020 · Filed December 09, 2020 · Amendment

Jointly reported with Moelis Asset Management LP, MAM Dynasty LLC, KJM Children's LLC

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par valueSEC Table I · non-derivative	IndirectBy Moelis Asset Management, LP	735,800	Reported balance Holding disclosure · report date 2020-11-24 · row 1 Amendment: may correct only part of an earlier disclosure. 1 source row Row 1 · Balance 735,800 F1: This Form 3 amendment is being filed to correct an administrative error which incorrectly calculated the number of shares of Common Stock previously disclosed as owned by the Reporting Persons. F2: Kenneth D. Moelis is the Chairman of Moelis Asset Management, LP. Accordingly, Mr. Moelis may be deemed to share voting and dispositive power with respect to the shares held by Moelis Asset Management, LP. Each of the Reporting Persons disclaims beneficial ownership of these securities except to the extent of its or his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Common Stock, par valueSEC Table I · non-derivative	IndirectBy MAM Dynasty LLC	928,192.4	Reported balance Holding disclosure · report date 2020-11-24 · row 2 Amendment: may correct only part of an earlier disclosure. 1 source row Row 2 · Balance 928,192.4 F1: This Form 3 amendment is being filed to correct an administrative error which incorrectly calculated the number of shares of Common Stock previously disclosed as owned by the Reporting Persons. F3: Kenneth D. Moelis is the Managing Member of MAM Dynasty LLC. Accordingly, Mr. Moelis may be deemed to share voting and dispositive power with respect to the shares held by MAM Dynasty LLC. Each of the Reporting Persons disclaims beneficial ownership of these securities except to the extent of its or his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Common Stock, par valueSEC Table I · non-derivative	IndirectBy KJM Children's LLC	618,794.93	Reported balance Holding disclosure · report date 2020-11-24 · row 3 Amendment: may correct only part of an earlier disclosure. 1 source row Row 3 · Balance 618,794.93 F1: This Form 3 amendment is being filed to correct an administrative error which incorrectly calculated the number of shares of Common Stock previously disclosed as owned by the Reporting Persons. F4: Kenneth D. Moelis is the Managing Member KJM Children's LLC. Accordingly, Mr. Moelis may be deemed to share voting and dispositive power with respect to the shares held by KJM Children's LLC. Each of the Reporting Persons disclaims beneficial ownership of these securities except to the extent of its or his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Filing footnotes · ownership attribution and instrument terms

F1: This Form 3 amendment is being filed to correct an administrative error which incorrectly calculated the number of shares of Common Stock previously disclosed as owned by the Reporting Persons.

F2: Kenneth D. Moelis is the Chairman of Moelis Asset Management, LP. Accordingly, Mr. Moelis may be deemed to share voting and dispositive power with respect to the shares held by Moelis Asset Management, LP. Each of the Reporting Persons disclaims beneficial ownership of these securities except to the extent of its or his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F3: Kenneth D. Moelis is the Managing Member of MAM Dynasty LLC. Accordingly, Mr. Moelis may be deemed to share voting and dispositive power with respect to the shares held by MAM Dynasty LLC. Each of the Reporting Persons disclaims beneficial ownership of these securities except to the extent of its or his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F4: Kenneth D. Moelis is the Managing Member KJM Children's LLC. Accordingly, Mr. Moelis may be deemed to share voting and dispositive power with respect to the shares held by KJM Children's LLC. Each of the Reporting Persons disclaims beneficial ownership of these securities except to the extent of its or his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Past disclosures · reporting ended (2)

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

Archer Aviation Inc.

Report date September 16, 2021 · Filed September 20, 2021

Section 16 reporting ended · disclosed 2021-09-20. Current position is not established by this disclosure.

No balance rows disclosed in this filing.

Kinsale Capital Group, Inc.

Report date May 17, 2017 · Filed May 18, 2017

Jointly reported with Moelis Capital Partners Opportunity Fund I, LP, Moelis Capital Partners Opportunity Fund I-A, LP, Moelis Capital Partners Opportunity Fund I LLC, Moelis Capital Partners LLC

Section 16 reporting ended · disclosed 2017-05-18. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.01 per shareSEC Table I · non-derivative	IndirectBy Moelis Capital Partners Opportunity Fund I, LP	0	Reported balance After 2017-05-17 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2017-05-17 · Sale · Disposed 4,001,713 · Balance 0 F1: Moelis Capital Partners Opportunity Fund I LLC ("MCPOF I") is the general partner of each of Moelis Capital Partners Opportunity Fund I, LP ("Opportunity Fund I") and Moelis Capital Partners Opportunity Fund I-A, LP ("Opportunity Fund I-A" and, together with Opportunity Fund I, collectively, the "Moelis Funds"). Moelis Capital Partners LLC ("MCP") is the managing member of MCPOF I. Kenneth D. Moelis is the chief executive officer of MCP. Accordingly, Mr. Moelis may be deemed to share voting and dispositive power with respect to the shares held by the Moelis Funds. Each of the Reporting Persons disclaims beneficial ownership of these securities except to the extent of its or his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Common Stock, par value $0.01 per shareSEC Table I · non-derivative	IndirectBy Moelis Capital Partners Opportunity Fund I-A, LP	0	Reported balance After 2017-05-17 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2017-05-17 · Sale · Disposed 306,061 · Balance 0 F1: Moelis Capital Partners Opportunity Fund I LLC ("MCPOF I") is the general partner of each of Moelis Capital Partners Opportunity Fund I, LP ("Opportunity Fund I") and Moelis Capital Partners Opportunity Fund I-A, LP ("Opportunity Fund I-A" and, together with Opportunity Fund I, collectively, the "Moelis Funds"). Moelis Capital Partners LLC ("MCP") is the managing member of MCPOF I. Kenneth D. Moelis is the chief executive officer of MCP. Accordingly, Mr. Moelis may be deemed to share voting and dispositive power with respect to the shares held by the Moelis Funds. Each of the Reporting Persons disclaims beneficial ownership of these securities except to the extent of its or his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Filing footnotes · ownership attribution and instrument terms

F1: Moelis Capital Partners Opportunity Fund I LLC ("MCPOF I") is the general partner of each of Moelis Capital Partners Opportunity Fund I, LP ("Opportunity Fund I") and Moelis Capital Partners Opportunity Fund I-A, LP ("Opportunity Fund I-A" and, together with Opportunity Fund I, collectively, the "Moelis Funds"). Moelis Capital Partners LLC ("MCP") is the managing member of MCPOF I. Kenneth D. Moelis is the chief executive officer of MCP. Accordingly, Mr. Moelis may be deemed to share voting and dispositive power with respect to the shares held by the Moelis Funds. Each of the Reporting Persons disclaims beneficial ownership of these securities except to the extent of its or his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

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
July 31, 2020 Filed Aug 4, 2020 22:38 UTC	Moelis & Co MC · Entity 3898	Exercise / conversionClass A Common Stock	91	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-20-044825 · doc4.xml · nonDerivative · entry 1 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 165,384 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The conversion covered by this footnote automatically occurred pursuant to the terms of the Company's Amended and Restated Certificate of Incorporation when certain Moelis & Company Group LP Units ("Group Units") were exchanged for Class A common stock by certain selling stockholders in connection with the Company's public offering closed on April 21, 2014. F1 · price: The conversion covered by this footnote automatically occurred pursuant to the terms of the Company's Amended and Restated Certificate of Incorporation when certain Moelis & Company Group LP Units ("Group Units") were exchanged for Class A common stock by certain selling stockholders in connection with the Company's public offering closed on April 21, 2014. Read SEC document
June 30, 2020 Filed Jul 3, 2020 01:00 UTC	Moelis & Co MC · Entity 3898	Grant2019 Long Term Incentive Award · Derivative	1,044.97	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-20-040806 · doc4.xml · derivative · entry 6 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,736.33 Underlying: Class A Common Stock · 1,044.97 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F7 · derivative.exercise_date: Long Term Incentive RSUs were issued as dividend equivalents on holder's unvested underlying LTI RSUs issued on February 13, 2020 (and dividend equivalents thereon). The dividend equivalent LTI RSUs will vest concurrently with the vesting of the unvested underlying LTI RSUs. F7 · derivative.expiration_date: Long Term Incentive RSUs were issued as dividend equivalents on holder's unvested underlying LTI RSUs issued on February 13, 2020 (and dividend equivalents thereon). The dividend equivalent LTI RSUs will vest concurrently with the vesting of the unvested underlying LTI RSUs. Read SEC document
June 30, 2020 Filed Jul 3, 2020 01:00 UTC	Moelis & Co MC · Entity 3898	Grant2018 Incentive RSUs · Derivative	760.46	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-20-040806 · doc4.xml · derivative · entry 5 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,685.64 Underlying: Class A Common Stock · 760.46 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F6 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on February 14, 2019 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F6 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on February 14, 2019 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
June 30, 2020 Filed Jul 3, 2020 01:00 UTC	Moelis & Co MC · Entity 3898	Grant2017 Long Term Incentive Award · Derivative	116.43	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-20-040806 · doc4.xml · derivative · entry 4 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,344.11 Underlying: Class A Common Stock · 116.43 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F5 · derivative.exercise_date: Long Term Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 15, 2018 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F5 · derivative.expiration_date: Long Term Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 15, 2018 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
June 30, 2020 Filed Jul 3, 2020 01:00 UTC	Moelis & Co MC · Entity 3898	Grant2017 Incentive RSUs · Derivative	483.23	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-20-040806 · doc4.xml · derivative · entry 3 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,531.53 Underlying: Class A Common Stock · 483.23 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F4 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 15, 2018 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F4 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 15, 2018 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
June 30, 2020 Filed Jul 3, 2020 01:00 UTC	Moelis & Co MC · Entity 3898	Grant2016 Incentive RSUs · Derivative	395.84	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-20-040806 · doc4.xml · derivative · entry 2 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,765.86 Underlying: Class A Common Stock · 395.84 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F3 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 23, 2017 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F3 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 23, 2017 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
June 30, 2020 Filed Jul 3, 2020 01:00 UTC	Moelis & Co MC · Entity 3898	Grant2015 Incentive RSUs · Derivative	390.77	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-20-040806 · doc4.xml · derivative · entry 1 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,141.42 Underlying: Class A Common Stock · 390.77 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F2 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 24, 2016 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F2 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 24, 2016 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
May 01, 2020 Filed May 1, 2020 23:59 UTC	Moelis & Co MC · Entity 3898	Exercise / conversionClass B Common Stock, par value $0.01 · Derivative	190	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-20-026641 · doc4.xml · derivative · entry 1 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,655,509 Underlying: Class A Common Stock, par value $0.01 · 0 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The conversion covered by this footnote automatically occurred pursuant to the terms of the Company's Amended and Restated Certificate of Incorporation when certain Moelis & Company Group LP Units ("Group Units") were exchanged for Class A common stock by certain selling stockholders in connection with the Company's public offering closed on April 21, 2014. F2 · security: Each share of Class B common stock is convertible into approximately 0.00055 shares of Class A common stock in certain circumstances, including when and if certain holders of Group Units elect to exchange such units for Class A common stock. Such conversions of Class B common stock may often result in conversion into less than 1 share of Class A common stock and in such case in lieu of such fractional share, the Company will pay the holder (Partner Holdings) cash equal to the Value (as defined in the Company's Amended and Restated Certificate of Incorporation) of the fractional share of Class A common stock. F2 · derivative.exercise_price: Each share of Class B common stock is convertible into approximately 0.00055 shares of Class A common stock in certain circumstances, including when and if certain holders of Group Units elect to exchange such units for Class A common stock. Such conversions of Class B common stock may often result in conversion into less than 1 share of Class A common stock and in such case in lieu of such fractional share, the Company will pay the holder (Partner Holdings) cash equal to the Value (as defined in the Company's Amended and Restated Certificate of Incorporation) of the fractional share of Class A common stock. F2 · kind: Each share of Class B common stock is convertible into approximately 0.00055 shares of Class A common stock in certain circumstances, including when and if certain holders of Group Units elect to exchange such units for Class A common stock. Such conversions of Class B common stock may often result in conversion into less than 1 share of Class A common stock and in such case in lieu of such fractional share, the Company will pay the holder (Partner Holdings) cash equal to the Value (as defined in the Company's Amended and Restated Certificate of Incorporation) of the fractional share of Class A common stock. F1 · price: The conversion covered by this footnote automatically occurred pursuant to the terms of the Company's Amended and Restated Certificate of Incorporation when certain Moelis & Company Group LP Units ("Group Units") were exchanged for Class A common stock by certain selling stockholders in connection with the Company's public offering closed on April 21, 2014. F2 · derivative.exercise_date: Each share of Class B common stock is convertible into approximately 0.00055 shares of Class A common stock in certain circumstances, including when and if certain holders of Group Units elect to exchange such units for Class A common stock. Such conversions of Class B common stock may often result in conversion into less than 1 share of Class A common stock and in such case in lieu of such fractional share, the Company will pay the holder (Partner Holdings) cash equal to the Value (as defined in the Company's Amended and Restated Certificate of Incorporation) of the fractional share of Class A common stock. F2 · derivative.expiration_date: Each share of Class B common stock is convertible into approximately 0.00055 shares of Class A common stock in certain circumstances, including when and if certain holders of Group Units elect to exchange such units for Class A common stock. Such conversions of Class B common stock may often result in conversion into less than 1 share of Class A common stock and in such case in lieu of such fractional share, the Company will pay the holder (Partner Holdings) cash equal to the Value (as defined in the Company's Amended and Restated Certificate of Incorporation) of the fractional share of Class A common stock. Read SEC document
April 24, 2020 Filed Apr 28, 2020 22:22 UTC	Moelis & Co MC · Entity 3898	Exercise / conversionClass B Common Stock, par value $0.01 · Derivative	1,742,216	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-20-026022 · doc4.xml · derivative · entry 2 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,655,699 Underlying: Class A Common Stock, par value $0.01 · 963 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The conversion covered by this footnote automatically occurred pursuant to the terms of the Company's Amended and Restated Certificate of Incorporation when certain Moelis & Company Group LP Units ("Group Units") were exchanged for Class A common stock by certain selling stockholders in connection with the Company's public offering closed on April 21, 2014. F2 · security: Each share of Class B common stock is convertible into approximately 0.00055 shares of Class A common stock in certain circumstances, including when and if certain holders of Group Units elect to exchange such units for Class A common stock. Such conversions of Class B common stock may often result in conversion into less than 1 share of Class A common stock and in such case in lieu of such fractional share, the Company will pay the holder (Partner Holdings) cash equal to the Value (as defined in the Company's Amended and Restated Certificate of Incorporation) of the fractional share of Class A common stock. F2 · derivative.exercise_price: Each share of Class B common stock is convertible into approximately 0.00055 shares of Class A common stock in certain circumstances, including when and if certain holders of Group Units elect to exchange such units for Class A common stock. Such conversions of Class B common stock may often result in conversion into less than 1 share of Class A common stock and in such case in lieu of such fractional share, the Company will pay the holder (Partner Holdings) cash equal to the Value (as defined in the Company's Amended and Restated Certificate of Incorporation) of the fractional share of Class A common stock. F2 · kind: Each share of Class B common stock is convertible into approximately 0.00055 shares of Class A common stock in certain circumstances, including when and if certain holders of Group Units elect to exchange such units for Class A common stock. Such conversions of Class B common stock may often result in conversion into less than 1 share of Class A common stock and in such case in lieu of such fractional share, the Company will pay the holder (Partner Holdings) cash equal to the Value (as defined in the Company's Amended and Restated Certificate of Incorporation) of the fractional share of Class A common stock. F1 · price: The conversion covered by this footnote automatically occurred pursuant to the terms of the Company's Amended and Restated Certificate of Incorporation when certain Moelis & Company Group LP Units ("Group Units") were exchanged for Class A common stock by certain selling stockholders in connection with the Company's public offering closed on April 21, 2014. F2 · derivative.exercise_date: Each share of Class B common stock is convertible into approximately 0.00055 shares of Class A common stock in certain circumstances, including when and if certain holders of Group Units elect to exchange such units for Class A common stock. Such conversions of Class B common stock may often result in conversion into less than 1 share of Class A common stock and in such case in lieu of such fractional share, the Company will pay the holder (Partner Holdings) cash equal to the Value (as defined in the Company's Amended and Restated Certificate of Incorporation) of the fractional share of Class A common stock. F2 · derivative.expiration_date: Each share of Class B common stock is convertible into approximately 0.00055 shares of Class A common stock in certain circumstances, including when and if certain holders of Group Units elect to exchange such units for Class A common stock. Such conversions of Class B common stock may often result in conversion into less than 1 share of Class A common stock and in such case in lieu of such fractional share, the Company will pay the holder (Partner Holdings) cash equal to the Value (as defined in the Company's Amended and Restated Certificate of Incorporation) of the fractional share of Class A common stock. Read SEC document
April 24, 2020 Filed Apr 28, 2020 22:22 UTC	Moelis & Co MC · Entity 3898	Exercise / conversionClass A Common Stock	963	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-20-026022 · doc4.xml · nonDerivative · entry 1 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 165,293 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The conversion covered by this footnote automatically occurred pursuant to the terms of the Company's Amended and Restated Certificate of Incorporation when certain Moelis & Company Group LP Units ("Group Units") were exchanged for Class A common stock by certain selling stockholders in connection with the Company's public offering closed on April 21, 2014. F1 · price: The conversion covered by this footnote automatically occurred pursuant to the terms of the Company's Amended and Restated Certificate of Incorporation when certain Moelis & Company Group LP Units ("Group Units") were exchanged for Class A common stock by certain selling stockholders in connection with the Company's public offering closed on April 21, 2014. Read SEC document
March 27, 2020 Filed Apr 1, 2020 00:39 UTC	Moelis & Co MC · Entity 3898	Grant2019 LTI RSUs · Derivative	5,168.36	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-20-021949 · doc4.xml · derivative · entry 6 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 127,691.36 Underlying: Class A Common Stock · 5,168.36 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F7 · derivative.exercise_date: LTI RSUs were issued as dividend equivalents on holder's unvested underlying LTI RSUs issued on February 13, 2020 (and dividend equivalents thereon). The dividend equivalent LTI RSUs will vest concurrently with the vesting of the unvested underlying LTI RSUs. F7 · derivative.expiration_date: LTI RSUs were issued as dividend equivalents on holder's unvested underlying LTI RSUs issued on February 13, 2020 (and dividend equivalents thereon). The dividend equivalent LTI RSUs will vest concurrently with the vesting of the unvested underlying LTI RSUs. Read SEC document
March 27, 2020 Filed Apr 1, 2020 00:39 UTC	Moelis & Co MC · Entity 3898	Grant2018 Incentive RSUs · Derivative	3,761.19	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-20-021949 · doc4.xml · derivative · entry 5 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,925.18 Underlying: Class A Common Stock · 3,761.19 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F6 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on February 14, 2019 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F6 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on February 14, 2019 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
March 27, 2020 Filed Apr 1, 2020 00:39 UTC	Moelis & Co MC · Entity 3898	Grant2017 Long Term Incentive Award · Derivative	575.87	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-20-021949 · doc4.xml · derivative · entry 4 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,227.68 Underlying: Class A Common Stock · 575.87 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F5 · derivative.exercise_date: Long Term Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 15, 2018 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F5 · derivative.expiration_date: Long Term Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 15, 2018 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
March 27, 2020 Filed Apr 1, 2020 00:39 UTC	Moelis & Co MC · Entity 3898	Grant2017 Incentive RSUs · Derivative	2,390.01	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-20-021949 · doc4.xml · derivative · entry 3 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,048.3 Underlying: Class A Common Stock · 2,390.01 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F4 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 15, 2018 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F4 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 15, 2018 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
March 27, 2020 Filed Apr 1, 2020 00:39 UTC	Moelis & Co MC · Entity 3898	Grant2016 Incentive RSUs · Derivative	1,957.8	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-20-021949 · doc4.xml · derivative · entry 2 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,370.02 Underlying: Class A Common Stock · 1,957.8 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F3 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 23, 2017 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F3 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 23, 2017 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
March 27, 2020 Filed Apr 1, 2020 00:39 UTC	Moelis & Co MC · Entity 3898	Grant2015 Incentive RSUs · Derivative	1,932.73	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-20-021949 · doc4.xml · derivative · entry 1 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,750.65 Underlying: Class A Common Stock · 1,932.73 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F2 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 24, 2016 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F2 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 24, 2016 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
February 20, 2020 Filed Feb 25, 2020 02:20 UTC	Moelis & Co MC · Entity 3898	Exercise / conversion2018 Incentive RSUs · Derivative	22,291	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-20-012299 · doc4.xml · derivative · entry 8 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,164 Underlying: Class A Common Stock · 22,291 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: The RSUs were settled for Class A common stock on February 20, 2020. F4 · derivative.exercise_price: The RSUs were settled for Class A common stock on February 20, 2020. F4 · derivative.exercise_date: The RSUs were settled for Class A common stock on February 20, 2020. F4 · derivative.expiration_date: The RSUs were settled for Class A common stock on February 20, 2020. Read SEC document
February 20, 2020 Filed Feb 25, 2020 02:20 UTC	Moelis & Co MC · Entity 3898	Exercise / conversion2017 Incentive RSUs · Derivative	18,885.3	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-20-012299 · doc4.xml · derivative · entry 7 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,658.3 Underlying: Class A Common Stock · 18,885.3 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: The RSUs were settled for Class A common stock on February 20, 2020. F4 · derivative.exercise_price: The RSUs were settled for Class A common stock on February 20, 2020. F4 · derivative.exercise_date: The RSUs were settled for Class A common stock on February 20, 2020. F4 · derivative.expiration_date: The RSUs were settled for Class A common stock on February 20, 2020. Read SEC document
February 20, 2020 Filed Feb 25, 2020 02:20 UTC	Moelis & Co MC · Entity 3898	Exercise / conversion2016 Incentive RSUs · Derivative	23,206.11	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-20-012299 · doc4.xml · derivative · entry 6 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,412.23 Underlying: Class A Common Stock · 23,206.11 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: The RSUs were settled for Class A common stock on February 20, 2020. F4 · derivative.exercise_price: The RSUs were settled for Class A common stock on February 20, 2020. F4 · derivative.exercise_date: The RSUs were settled for Class A common stock on February 20, 2020. F4 · derivative.expiration_date: The RSUs were settled for Class A common stock on February 20, 2020. Read SEC document
February 20, 2020 Filed Feb 25, 2020 02:20 UTC	Moelis & Co MC · Entity 3898	Exercise / conversion2015 Incentive RSUs · Derivative	45,817.92	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-20-012299 · doc4.xml · derivative · entry 5 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,817.93 Underlying: Class A Common Stock · 45,817.92 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: The RSUs were settled for Class A common stock on February 20, 2020. F4 · derivative.exercise_price: The RSUs were settled for Class A common stock on February 20, 2020. F4 · derivative.exercise_date: The RSUs were settled for Class A common stock on February 20, 2020. F4 · derivative.expiration_date: The RSUs were settled for Class A common stock on February 20, 2020. Read SEC document
February 20, 2020 Filed Feb 25, 2020 02:20 UTC	Moelis & Co MC · Entity 3898	Exercise / conversion2014 Incentive RSUs Granted in 2015 · Derivative	48,459.1	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-20-012299 · doc4.xml · derivative · entry 4 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 48,459.1 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: The RSUs were settled for Class A common stock on February 20, 2020. F4 · derivative.exercise_price: The RSUs were settled for Class A common stock on February 20, 2020. F4 · derivative.exercise_date: The RSUs were settled for Class A common stock on February 20, 2020. F4 · derivative.expiration_date: The RSUs were settled for Class A common stock on February 20, 2020. Read SEC document
February 20, 2020 Filed Feb 25, 2020 02:20 UTC	Moelis & Co MC · Entity 3898	SaleClass A Common Stock	79,331	$36.72	$2,913,034.32	Disclosure SEC source: 0001209191-20-012299 · doc4.xml · nonDerivative · entry 3 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 164,330 F2 · security: Class A common stock sold by Mr. Moelis in order to raise proceeds to satisfy tax obligations triggered by delivery of the Class A common stock upon settlement of the RSUs. Federal taxes are not withheld from Class A common stock delivered to Mr. Moelis upon settlement of RSUs because he is a partner in Moelis & Company Partner Holdings LP. F3 · balance_after: This number excludes (i) 374,227 unvested RSUs granted to Mr. Moelis as incentive compensation for fiscal years 2014 through 2019 and (ii) 4,876,314 shares of Class A common stock issuable in exchange for Moelis & Company Group LP Class A partnership units held by a trust, of which Mr. Moelis is a beneficiary. The unvested RSUs represent the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount in cash equal to the fair market value of such share. The vesting schedule applicable to these unvested RSUs can be found on the Form 4s previously filed in connection with the grant of such RSUs to Mr. Moelis. Read SEC document
February 20, 2020 Filed Feb 25, 2020 02:20 UTC	Moelis & Co MC · Entity 3898	Tax withholdingClass A Common Stock	1,748.44	$36.72	$64,202.72	Disclosure SEC source: 0001209191-20-012299 · doc4.xml · nonDerivative · entry 2 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 243,661 Read SEC document
February 20, 2020 Filed Feb 25, 2020 02:20 UTC	Moelis & Co MC · Entity 3898	Exercise / conversionClass A Common Stock	158,659.44	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-20-012299 · doc4.xml · nonDerivative · entry 1 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 245,409.44 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Shares of Class A Common Stock were acquired upon settlement of Restricted Stock Units (RSUs). Read SEC document
February 14, 2020 Filed Feb 20, 2020 02:10 UTC	Moelis & Co MC · Entity 3898	OtherMAM Employee Stock Options (Obligation to Sell) · Derivative	6,000	$0.00 Strike: $15.95	$0.00	Disclosure SEC source: 0001209191-20-010864 · doc4.xml · derivative · entry 4 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 0 Underlying: Class A Common Stock · 6,000 shares Expires 2020-04-22 F3 · security: As part of the process of separating the Asset Management business from the Advisory business at the time of the IPO, MAM purchased the Options from the Company in order for MAM to grant the MAM Employee Options to certain MAM employees. These Options are exercisable at any time and expire on April 22, 2020. The MAM Employee Options vested in installments of 25% on April 22, 2017, 25% on April 22, 2018 and 50% on April 22, 2019. The MAM Employee Options expire on April 22, 2020. F4 · derivative.exercise_price: The strike price was revised to $15.95. F7 · kind: Certain MAM employees have exercised a portion of the MAM Employee Options granted to such MAM employees by MAM. F3 · derivative.exercise_date: As part of the process of separating the Asset Management business from the Advisory business at the time of the IPO, MAM purchased the Options from the Company in order for MAM to grant the MAM Employee Options to certain MAM employees. These Options are exercisable at any time and expire on April 22, 2020. The MAM Employee Options vested in installments of 25% on April 22, 2017, 25% on April 22, 2018 and 50% on April 22, 2019. The MAM Employee Options expire on April 22, 2020. F8 · ownership.nature: Represents MAM Employee Options granted by MAM to certain MAM employees. The MAM Employee Options represent an obligation of MAM to sell to MAM employees Class A Common Stock upon exercise of the MAM Employee Options by MAM employees. Mr. Moelis had dispositive power with respect to MAM's rights as the grantor of the MAM Employee Options (obligation to sell) as a result of his controlling interest in MAM. As part of the process of separating the Asset Management business from the Advisory business at the time of the IPO, MAM purchased the Options from the Company in order for MAM to grant MAM Employee Options to certain MAM employees. The MAM Employee Options were not granted under the Company's Omnibus Plan. Read SEC document
February 14, 2020 Filed Feb 20, 2020 02:10 UTC	Moelis & Co MC · Entity 3898	Exercise / conversionStock Options (Right to Buy) · Derivative	6,000	$0.00 Strike: $15.95	$0.00	Disclosure SEC source: 0001209191-20-010864 · doc4.xml · derivative · entry 3 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 0 Underlying: Class A Common Stock · 6,000 shares Expires 2020-04-22 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: As part of the process of separating the Asset Management business from the Advisory business at the time of the IPO, MAM purchased the Options from the Company in order for MAM to grant the MAM Employee Options to certain MAM employees. These Options are exercisable at any time and expire on April 22, 2020. The MAM Employee Options vested in installments of 25% on April 22, 2017, 25% on April 22, 2018 and 50% on April 22, 2019. The MAM Employee Options expire on April 22, 2020. F4 · derivative.exercise_price: The strike price was revised to $15.95. F5 · kind: Certain MAM employees have exercised a portion of the MAM Employee Options granted to such MAM employees by MAM. As a result, MAM has simultaneously exercised the same number of Options it purchased from the Company at the time of the IPO in order to fulfill its obligations to the MAM employees under the MAM Employee Options. F3 · derivative.exercise_date: As part of the process of separating the Asset Management business from the Advisory business at the time of the IPO, MAM purchased the Options from the Company in order for MAM to grant the MAM Employee Options to certain MAM employees. These Options are exercisable at any time and expire on April 22, 2020. The MAM Employee Options vested in installments of 25% on April 22, 2017, 25% on April 22, 2018 and 50% on April 22, 2019. The MAM Employee Options expire on April 22, 2020. F6 · ownership.nature: Represents Options held by MAM. Mr. Moelis shares dispositive power over the Options as a result of his controlling interest in MAM. As part of the process of separating the Asset Management business from the Advisory business at the time of the IPO, MAM purchased the Options from the Company in order for MAM to grant MAM Employee Options to certain MAM employees. MAM purchased the Options for fair value based on a Black Scholes modeled price. The Options were not granted under the Plan. These transactions were approved by the Company's Board under Section 16b-3. Read SEC document
February 14, 2020 Filed Feb 20, 2020 02:10 UTC	Moelis & Co MC · Entity 3898	OtherClass A Common Stock	6,000	$15.95	$95,700.00	Disclosure SEC source: 0001209191-20-010864 · doc4.xml · nonDerivative · entry 2 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 0 F1 · security: Class A Common Stock of Moelis & Company (the "Company") held by Moelis Asset Management ("MAM") upon exercise of certain Options (as defined in footnote 2 below). Certain MAM employees have exercised a portion of the MAM Employee Options (as defined in footnote 2 below) granted to such MAM employees by MAM at the time of the Company's IPO (see footnote 2 below). As a result, MAM has simultaneously exercised the same number of Options it purchased from the Company at the time of the IPO in order to fulfill its obligations to the MAM employees under the MAM Employee Options. Mr. Moelis has voting and dispositive power over the Class A Common Stock as a result of his controlling interest in MAM. F2 · ownership.nature: Represents Class A Common Stock held by MAM. Mr. Moelis shares 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 Company's IPO, MAM purchased options to purchase shares of the Company's Class A common stock (the "Options") from the Company in order for MAM to grant stock options to purchase Class A Common Stock of the Company to certain MAM employees (the "MAM Employee Options"). MAM purchased the Options for fair value based on a Black Scholes modeled price. The Options were not granted under the Company's Omnibus Plan. These transactions were approved by the Company's Board under Section 16b-3. Read SEC document
February 14, 2020 Filed Feb 20, 2020 02:10 UTC	Moelis & Co MC · Entity 3898	Exercise / conversionClass A Common Stock	6,000	$15.95	$95,700.00	Disclosure SEC source: 0001209191-20-010864 · doc4.xml · nonDerivative · entry 1 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 6,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Class A Common Stock of Moelis & Company (the "Company") held by Moelis Asset Management ("MAM") upon exercise of certain Options (as defined in footnote 2 below). Certain MAM employees have exercised a portion of the MAM Employee Options (as defined in footnote 2 below) granted to such MAM employees by MAM at the time of the Company's IPO (see footnote 2 below). As a result, MAM has simultaneously exercised the same number of Options it purchased from the Company at the time of the IPO in order to fulfill its obligations to the MAM employees under the MAM Employee Options. Mr. Moelis has voting and dispositive power over the Class A Common Stock as a result of his controlling interest in MAM. F2 · ownership.nature: Represents Class A Common Stock held by MAM. Mr. Moelis shares 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 Company's IPO, MAM purchased options to purchase shares of the Company's Class A common stock (the "Options") from the Company in order for MAM to grant stock options to purchase Class A Common Stock of the Company to certain MAM employees (the "MAM Employee Options"). MAM purchased the Options for fair value based on a Black Scholes modeled price. The Options were not granted under the Company's Omnibus Plan. These transactions were approved by the Company's Board under Section 16b-3. Read SEC document
February 13, 2020 Filed Feb 19, 2020 00:56 UTC	Moelis & Co MC · Entity 3898	Grant2019 LTI RSUs · Derivative	122,523	$0.00	$0.00	Disclosure SEC source: 0001209191-20-010400 · doc4.xml · derivative · entry 1 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,523 Underlying: Class A Common Stock · 122,523 shares Expires not disclosed F1 · security: Each 2019 LTI 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. The 2019 LTI RSUs reported on this Form 4 represent the total discretionary incentive compensation awarded to Mr. Moelis for 2019. F1 · derivative.exercise_price: Each 2019 LTI 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. The 2019 LTI RSUs reported on this Form 4 represent the total discretionary incentive compensation awarded to Mr. Moelis for 2019. F2 · derivative.exercise_date: The 2019 LTI Restricted Stock Units vest in equal installments on February 23, 2023, February 23, 2024 and February 23, 2025. F2 · derivative.expiration_date: The 2019 LTI Restricted Stock Units vest in equal installments on February 23, 2023, February 23, 2024 and February 23, 2025. Read SEC document
February 06, 2020 Filed Feb 8, 2020 02:38 UTC	Moelis & Co MC · Entity 3898	OtherPartnership Interests · Derivative	1,007,567	$39.95	$40,252,301.65	Disclosure SEC source: 0001209191-20-007746 · doc4.xml · derivative · entry 2 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 4,876,314 Underlying: Class A Common Stock, par value $0.01 · 1,007,567 shares Expires not disclosed F1 · security: Represents partnership interests 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 · security: In connection with personal estate planning, The Moelis Family Irrevocable Trust transferred 1,007,567 units of Partner Holdings to The Moelis Family Trust. Before this transaction, The Moelis Family Trust held 3,868,747 units of Partner Holdings. Following this transaction, the Moelis Family Trust holds 4,876,314 units of Partner Holdings. This transaction has no impact on Mr. Moelis's voting control of approximately 68% of Moelis & Company (the "Company") and does not reduce Mr. Moelis's economic interest in the Company. F1 · derivative.exercise_price: Represents partnership interests 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 personal estate planning, The Moelis Family Irrevocable Trust transferred 1,007,567 units of Partner Holdings to The Moelis Family Trust. Before this transaction, The Moelis Family Trust held 3,868,747 units of Partner Holdings. Following this transaction, the Moelis Family Trust holds 4,876,314 units of Partner Holdings. This transaction has no impact on Mr. Moelis's voting control of approximately 68% of Moelis & Company (the "Company") and does not reduce Mr. Moelis's economic interest in the Company. F7 · shares: The Moelis Family Trust acquired 1,007,567 units of Partner Holdings from The Moelis Family Irrevocable Trust. F5 · price: Closing price of Moelis & Company Class A Common Stock, par value $0.01, on February 6, 2020. The total consideration received by The Moelis Family Irrevocable Trust in consideration for the Partner Holdings units was $40,252,302, which consisted of a combination of cash and publicly traded securities of issuers unrelated to the Company. The value of such publicly traded securities was established using the public market price at the time of the transfer. F4 · 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. F4 · 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. F8 · ownership.nature: Represents a transaction by the Moelis Family Trust. Mr. Moelis is a beneficiary of The Moelis Family Trust. Mr. Moelis shares voting and dispositive power over the assets of The Moelis Family Trust with Mrs. Julie Moelis. Read SEC document
February 06, 2020 Filed Feb 8, 2020 02:38 UTC	Moelis & Co MC · Entity 3898	OtherPartnership Interests · Derivative	1,007,567	$39.95	$40,252,301.65	Disclosure SEC source: 0001209191-20-007746 · doc4.xml · derivative · entry 1 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 0 Underlying: Class A Common Stock, par value $0.01 · 1,007,567 shares Expires not disclosed F1 · security: Represents partnership interests 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 · security: In connection with personal estate planning, The Moelis Family Irrevocable Trust transferred 1,007,567 units of Partner Holdings to The Moelis Family Trust. Before this transaction, The Moelis Family Trust held 3,868,747 units of Partner Holdings. Following this transaction, the Moelis Family Trust holds 4,876,314 units of Partner Holdings. This transaction has no impact on Mr. Moelis's voting control of approximately 68% of Moelis & Company (the "Company") and does not reduce Mr. Moelis's economic interest in the Company. F1 · derivative.exercise_price: Represents partnership interests 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 personal estate planning, The Moelis Family Irrevocable Trust transferred 1,007,567 units of Partner Holdings to The Moelis Family Trust. Before this transaction, The Moelis Family Trust held 3,868,747 units of Partner Holdings. Following this transaction, the Moelis Family Trust holds 4,876,314 units of Partner Holdings. This transaction has no impact on Mr. Moelis's voting control of approximately 68% of Moelis & Company (the "Company") and does not reduce Mr. Moelis's economic interest in the Company. F3 · shares: The Moelis Family Irrevocable Trust transferred 1,007,567 units of Partner Holdings to The Moelis Family Trust. F5 · price: Closing price of Moelis & Company Class A Common Stock, par value $0.01, on February 6, 2020. The total consideration received by The Moelis Family Irrevocable Trust in consideration for the Partner Holdings units was $40,252,302, which consisted of a combination of cash and publicly traded securities of issuers unrelated to the Company. The value of such publicly traded securities was established using the public market price at the time of the transfer. F4 · 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. F4 · 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. F6 · ownership.nature: Represents a transaction by The Moelis Family Irrevocable Trust. Mr. Moelis's children are the primary beneficiaries of The Moelis Family Irrevocable Trust. Mr. Moelis shares voting and dispositive power over the assets of The Moelis Family Irrevocable Trust with Mrs. Julie Moelis. Mr. Moelis does not have a pecuniary interest in the Partner Holdings interests. Mr. Moelis disclaims beneficial ownership of such interests, except to the extent of his pecuniary interest in such interests. Read SEC document
December 13, 2019 Filed Dec 18, 2019 00:10 UTC	Moelis & Co MC · Entity 3898	Grant2018 Incentive RSUs · Derivative	1,758.52	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-19-061027 · doc4.xml · derivative · entry 6 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,455 Underlying: Class A Common Stock · 1,758.52 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F7 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on February 14, 2019 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F7 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on February 14, 2019 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
December 13, 2019 Filed Dec 18, 2019 00:10 UTC	Moelis & Co MC · Entity 3898	Grant2017 Long Term Incentive Award · Derivative	215.4	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-19-061027 · doc4.xml · derivative · entry 5 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,651.81 Underlying: Class A Common Stock · 215.4 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F6 · derivative.exercise_date: Long Term Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 15, 2018 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F6 · derivative.expiration_date: Long Term Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 15, 2018 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
December 13, 2019 Filed Dec 18, 2019 00:10 UTC	Moelis & Co MC · Entity 3898	Grant2017 Incentive RSUs · Derivative	1,191.92	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-19-061027 · doc4.xml · derivative · entry 4 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,543.6 Underlying: Class A Common Stock · 1,191.92 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F5 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 15, 2018 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F5 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 15, 2018 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
December 13, 2019 Filed Dec 18, 2019 00:10 UTC	Moelis & Co MC · Entity 3898	Grant2016 Incentive RSUs · Derivative	1,098.43	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-19-061027 · doc4.xml · derivative · entry 3 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,618.34 Underlying: Class A Common Stock · 1,098.43 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F4 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 23, 2017 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F4 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 23, 2017 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
December 13, 2019 Filed Dec 18, 2019 00:10 UTC	Moelis & Co MC · Entity 3898	Grant2015 Incentive RSUs · Derivative	1,445.82	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-19-061027 · doc4.xml · derivative · entry 2 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,635.85 Underlying: Class A Common Stock · 1,445.82 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F3 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 24, 2016 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F3 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 24, 2016 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
December 13, 2019 Filed Dec 18, 2019 00:10 UTC	Moelis & Co MC · Entity 3898	Grant2014 Incentive RSUs Granted in 2015 · Derivative	764.58	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001209191-19-061027 · doc4.xml · derivative · entry 1 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,459.1 Underlying: Class A Common Stock · 764.58 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. F2 · derivative.exercise_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on March 2, 2015 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. F2 · derivative.expiration_date: Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on March 2, 2015 (and dividend equivalents thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Read SEC document
November 13, 2019 Filed Nov 14, 2019 00:55 UTC	Moelis & Co MC · Entity 3898	OtherMAM Employee Stock Options (Obligation to Sell) · Derivative	1,418	$0.00 Strike: $16.70	$0.00	Disclosure SEC source: 0001209191-19-056484 · doc4.xml · derivative · entry 8 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 6,000 Underlying: Class A Common Stock · 1,418 shares Expires 2020-04-22 F3 · security: As part of the process of separating the Asset Management business from the Advisory business at the time of the IPO, MAM purchased the Options from the Company in order for MAM to grant the MAM Employee Options to certain MAM employees. These Options are exercisable at any time and expire on April 22, 2020. The MAM Employee Options vested in installments of 25% on April 22, 2017, 25% on April 22, 2018 and 50% on April 22, 2019. The MAM Employee Options expire on April 22, 2020. F4 · derivative.exercise_price: The strike price was revised to $16.70. F7 · kind: Certain MAM employees have exercised a portion of the MAM Employee Options granted to such MAM employees by MAM. F3 · derivative.exercise_date: As part of the process of separating the Asset Management business from the Advisory business at the time of the IPO, MAM purchased the Options from the Company in order for MAM to grant the MAM Employee Options to certain MAM employees. These Options are exercisable at any time and expire on April 22, 2020. The MAM Employee Options vested in installments of 25% on April 22, 2017, 25% on April 22, 2018 and 50% on April 22, 2019. The MAM Employee Options expire on April 22, 2020. F8 · ownership.nature: Represents MAM Employee Options granted by MAM to certain MAM employees. The MAM Employee Options represent an obligation of MAM to sell to MAM employees Class A Common Stock upon exercise of the MAM Employee Options by MAM employees. Mr. Moelis had dispositive power with respect to MAM's rights as the grantor of the MAM Employee Options (obligation to sell) as a result of his controlling interest in MAM. As part of the process of separating the Asset Management business from the Advisory business at the time of the IPO, MAM purchased the Options from the Company in order for MAM to grant MAM Employee Options to certain MAM employees. The MAM Employee Options were not granted under the Company's Omnibus Plan. Read SEC document
November 13, 2019 Filed Nov 14, 2019 00:55 UTC	Moelis & Co MC · Entity 3898	Exercise / conversionStock Options (Right to Buy) · Derivative	1,418	$0.00 Strike: $16.70	$0.00	Disclosure SEC source: 0001209191-19-056484 · doc4.xml · derivative · entry 7 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 6,000 Underlying: Class A Common Stock · 1,418 shares Expires 2020-04-22 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: As part of the process of separating the Asset Management business from the Advisory business at the time of the IPO, MAM purchased the Options from the Company in order for MAM to grant the MAM Employee Options to certain MAM employees. These Options are exercisable at any time and expire on April 22, 2020. The MAM Employee Options vested in installments of 25% on April 22, 2017, 25% on April 22, 2018 and 50% on April 22, 2019. The MAM Employee Options expire on April 22, 2020. F4 · derivative.exercise_price: The strike price was revised to $16.70. F5 · kind: Certain MAM employees have exercised a portion of the MAM Employee Options granted to such MAM employees by MAM. As a result, MAM has simultaneously exercised the same number of Options it purchased from the Company at the time of the IPO in order to fulfill its obligations to the MAM employees under the MAM Employee Options. F3 · derivative.exercise_date: As part of the process of separating the Asset Management business from the Advisory business at the time of the IPO, MAM purchased the Options from the Company in order for MAM to grant the MAM Employee Options to certain MAM employees. These Options are exercisable at any time and expire on April 22, 2020. The MAM Employee Options vested in installments of 25% on April 22, 2017, 25% on April 22, 2018 and 50% on April 22, 2019. The MAM Employee Options expire on April 22, 2020. F6 · ownership.nature: Represents Options held by MAM. Mr. Moelis shares dispositive power over the Options as a result of his controlling interest in MAM. As part of the process of separating the Asset Management business from the Advisory business at the time of the IPO, MAM purchased the Options from the Company in order for MAM to grant MAM Employee Options to certain MAM employees. MAM purchased the Options for fair value based on a Black Scholes modeled price. The Options were not granted under the Plan. These transactions were approved by the Company's Board under Section 16b-3. Read SEC document
November 13, 2019 Filed Nov 14, 2019 00:55 UTC	Moelis & Co MC · Entity 3898	OtherClass A Common Stock	1,418	$16.70	$23,680.60	Disclosure SEC source: 0001209191-19-056484 · doc4.xml · nonDerivative · entry 4 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 0 F1 · security: Class A Common Stock held by Moelis Asset Management ("MAM") upon exercise of certain Options (as defined in footnote 2 below). Mr. Moelis has voting and dispositive power over the Class A Common Stock as a result of his controlling interest in MAM. F2 · ownership.nature: Represents Class A Common Stock held by MAM. Mr. Moelis shares 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, MAM purchased options to purchase shares of the Company's Class A common stock (the "Options") from the Company in order for MAM to grant stock options to purchase Class A Common Stock of the Company to certain MAM employees (the "MAM Employee Options"). MAM purchased the Options for fair value based on a Black Scholes modeled price. The Options were not granted under the Company's Omnibus Plan. These transactions were approved by the Company's Board under Section 16b-3. Read SEC document
November 13, 2019 Filed Nov 14, 2019 00:55 UTC	Moelis & Co MC · Entity 3898	Exercise / conversionClass A Common Stock	1,418	$16.70	$23,680.60	Disclosure SEC source: 0001209191-19-056484 · doc4.xml · nonDerivative · entry 3 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 1,418 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Class A Common Stock held by Moelis Asset Management ("MAM") upon exercise of certain Options (as defined in footnote 2 below). Mr. Moelis has voting and dispositive power over the Class A Common Stock as a result of his controlling interest in MAM. F2 · ownership.nature: Represents Class A Common Stock held by MAM. Mr. Moelis shares 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, MAM purchased options to purchase shares of the Company's Class A common stock (the "Options") from the Company in order for MAM to grant stock options to purchase Class A Common Stock of the Company to certain MAM employees (the "MAM Employee Options"). MAM purchased the Options for fair value based on a Black Scholes modeled price. The Options were not granted under the Company's Omnibus Plan. These transactions were approved by the Company's Board under Section 16b-3. Read SEC document
November 11, 2019 Filed Nov 14, 2019 00:55 UTC	Moelis & Co MC · Entity 3898	OtherMAM Employee Stock Options (Obligation to Sell) · Derivative	3,450	$0.00 Strike: $16.70	$0.00	Disclosure SEC source: 0001209191-19-056484 · doc4.xml · derivative · entry 6 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 7,418 Underlying: Class A Common Stock · 3,450 shares Expires 2020-04-22 F3 · security: As part of the process of separating the Asset Management business from the Advisory business at the time of the IPO, MAM purchased the Options from the Company in order for MAM to grant the MAM Employee Options to certain MAM employees. These Options are exercisable at any time and expire on April 22, 2020. The MAM Employee Options vested in installments of 25% on April 22, 2017, 25% on April 22, 2018 and 50% on April 22, 2019. The MAM Employee Options expire on April 22, 2020. F4 · derivative.exercise_price: The strike price was revised to $16.70. F7 · kind: Certain MAM employees have exercised a portion of the MAM Employee Options granted to such MAM employees by MAM. F3 · derivative.exercise_date: As part of the process of separating the Asset Management business from the Advisory business at the time of the IPO, MAM purchased the Options from the Company in order for MAM to grant the MAM Employee Options to certain MAM employees. These Options are exercisable at any time and expire on April 22, 2020. The MAM Employee Options vested in installments of 25% on April 22, 2017, 25% on April 22, 2018 and 50% on April 22, 2019. The MAM Employee Options expire on April 22, 2020. F8 · ownership.nature: Represents MAM Employee Options granted by MAM to certain MAM employees. The MAM Employee Options represent an obligation of MAM to sell to MAM employees Class A Common Stock upon exercise of the MAM Employee Options by MAM employees. Mr. Moelis had dispositive power with respect to MAM's rights as the grantor of the MAM Employee Options (obligation to sell) as a result of his controlling interest in MAM. As part of the process of separating the Asset Management business from the Advisory business at the time of the IPO, MAM purchased the Options from the Company in order for MAM to grant MAM Employee Options to certain MAM employees. The MAM Employee Options were not granted under the Company's Omnibus Plan. Read SEC document
November 11, 2019 Filed Nov 14, 2019 00:55 UTC	Moelis & Co MC · Entity 3898	Exercise / conversionStock Options (Right to Buy) · Derivative	3,450	$0.00 Strike: $16.70	$0.00	Disclosure SEC source: 0001209191-19-056484 · doc4.xml · derivative · entry 5 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 7,418 Underlying: Class A Common Stock · 3,450 shares Expires 2020-04-22 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: As part of the process of separating the Asset Management business from the Advisory business at the time of the IPO, MAM purchased the Options from the Company in order for MAM to grant the MAM Employee Options to certain MAM employees. These Options are exercisable at any time and expire on April 22, 2020. The MAM Employee Options vested in installments of 25% on April 22, 2017, 25% on April 22, 2018 and 50% on April 22, 2019. The MAM Employee Options expire on April 22, 2020. F4 · derivative.exercise_price: The strike price was revised to $16.70. F5 · kind: Certain MAM employees have exercised a portion of the MAM Employee Options granted to such MAM employees by MAM. As a result, MAM has simultaneously exercised the same number of Options it purchased from the Company at the time of the IPO in order to fulfill its obligations to the MAM employees under the MAM Employee Options. F3 · derivative.exercise_date: As part of the process of separating the Asset Management business from the Advisory business at the time of the IPO, MAM purchased the Options from the Company in order for MAM to grant the MAM Employee Options to certain MAM employees. These Options are exercisable at any time and expire on April 22, 2020. The MAM Employee Options vested in installments of 25% on April 22, 2017, 25% on April 22, 2018 and 50% on April 22, 2019. The MAM Employee Options expire on April 22, 2020. F6 · ownership.nature: Represents Options held by MAM. Mr. Moelis shares dispositive power over the Options as a result of his controlling interest in MAM. As part of the process of separating the Asset Management business from the Advisory business at the time of the IPO, MAM purchased the Options from the Company in order for MAM to grant MAM Employee Options to certain MAM employees. MAM purchased the Options for fair value based on a Black Scholes modeled price. The Options were not granted under the Plan. These transactions were approved by the Company's Board under Section 16b-3. Read SEC document
November 11, 2019 Filed Nov 14, 2019 00:55 UTC	Moelis & Co MC · Entity 3898	OtherClass A Common Stock	3,450	$16.70	$57,615.00	Disclosure SEC source: 0001209191-19-056484 · doc4.xml · nonDerivative · entry 2 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 0 F1 · security: Class A Common Stock held by Moelis Asset Management ("MAM") upon exercise of certain Options (as defined in footnote 2 below). Mr. Moelis has voting and dispositive power over the Class A Common Stock as a result of his controlling interest in MAM. F2 · ownership.nature: Represents Class A Common Stock held by MAM. Mr. Moelis shares 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, MAM purchased options to purchase shares of the Company's Class A common stock (the "Options") from the Company in order for MAM to grant stock options to purchase Class A Common Stock of the Company to certain MAM employees (the "MAM Employee Options"). MAM purchased the Options for fair value based on a Black Scholes modeled price. The Options were not granted under the Company's Omnibus Plan. These transactions were approved by the Company's Board under Section 16b-3. Read SEC document
November 11, 2019 Filed Nov 14, 2019 00:55 UTC	Moelis & Co MC · Entity 3898	Exercise / conversionClass A Common Stock	3,450	$16.70	$57,615.00	Disclosure SEC source: 0001209191-19-056484 · doc4.xml · nonDerivative · entry 1 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 3,450 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Class A Common Stock held by Moelis Asset Management ("MAM") upon exercise of certain Options (as defined in footnote 2 below). Mr. Moelis has voting and dispositive power over the Class A Common Stock as a result of his controlling interest in MAM. F2 · ownership.nature: Represents Class A Common Stock held by MAM. Mr. Moelis shares 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, MAM purchased options to purchase shares of the Company's Class A common stock (the "Options") from the Company in order for MAM to grant stock options to purchase Class A Common Stock of the Company to certain MAM employees (the "MAM Employee Options"). MAM purchased the Options for fair value based on a Black Scholes modeled price. The Options were not granted under the Company's Omnibus Plan. These transactions were approved by the Company's Board under Section 16b-3. Read SEC document
November 08, 2019 Filed Nov 9, 2019 01:40 UTC	Moelis & Co MC · Entity 3898	OtherMAM Employee Stock Options (Obligation to Sell) · Derivative	9,000	$0.00 Strike: $16.70	$0.00	Disclosure SEC source: 0001209191-19-055892 · 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: 10,868 Underlying: Class A Common Stock · 9,000 shares Expires 2020-04-22 F3 · security: As part of the process of separating the Asset Management business from the Advisory business at the time of the IPO, MAM purchased the Options from the Company in order for MAM to grant the MAM Employee Options to certain MAM employees. These Options are exercisable at any time and expire on April 22, 2020. The MAM Employee Options vested in installments of 25% on April 22, 2017, 25% on April 22, 2018 and 50% on April 22, 2019. The MAM Employee Options expire on April 22, 2020. F4 · derivative.exercise_price: The strike price was revised to $16.70. F7 · kind: Certain MAM employees have exercised a portion of the MAM Employee Options granted to such MAM employees by MAM. F3 · derivative.exercise_date: As part of the process of separating the Asset Management business from the Advisory business at the time of the IPO, MAM purchased the Options from the Company in order for MAM to grant the MAM Employee Options to certain MAM employees. These Options are exercisable at any time and expire on April 22, 2020. The MAM Employee Options vested in installments of 25% on April 22, 2017, 25% on April 22, 2018 and 50% on April 22, 2019. The MAM Employee Options expire on April 22, 2020. F8 · ownership.nature: Represents MAM Employee Options granted by MAM to certain MAM employees. The MAM Employee Options represent an obligation of MAM to sell to MAM employees Class A Common Stock upon exercise of the MAM Employee Options by MAM employees. Mr. Moelis had dispositive power with respect to MAM's rights as the grantor of the MAM Employee Options (obligation to sell) as a result of his controlling interest in MAM. As part of the process of separating the Asset Management business from the Advisory business at the time of the IPO, MAM purchased the Options from the Company in order for MAM to grant MAM Employee Options to certain MAM employees. The MAM Employee Options were not granted under the Company's Omnibus Plan. Read SEC document
November 08, 2019 Filed Nov 9, 2019 01:40 UTC	Moelis & Co MC · Entity 3898	Exercise / conversionStock Options (Right to Buy) · Derivative	9,000	$0.00 Strike: $16.70	$0.00	Disclosure SEC source: 0001209191-19-055892 · doc4.xml · derivative · entry 11 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 10,868 Underlying: Class A Common Stock · 9,000 shares Expires 2020-04-22 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: As part of the process of separating the Asset Management business from the Advisory business at the time of the IPO, MAM purchased the Options from the Company in order for MAM to grant the MAM Employee Options to certain MAM employees. These Options are exercisable at any time and expire on April 22, 2020. The MAM Employee Options vested in installments of 25% on April 22, 2017, 25% on April 22, 2018 and 50% on April 22, 2019. The MAM Employee Options expire on April 22, 2020. F4 · derivative.exercise_price: The strike price was revised to $16.70. F5 · kind: Certain MAM employees have exercised a portion of the MAM Employee Options granted to such MAM employees by MAM. As a result, MAM has simultaneously exercised the same number of Options it purchased from the Company at the time of the IPO in order to fulfill its obligations to the MAM employees under the MAM Employee Options. F3 · derivative.exercise_date: As part of the process of separating the Asset Management business from the Advisory business at the time of the IPO, MAM purchased the Options from the Company in order for MAM to grant the MAM Employee Options to certain MAM employees. These Options are exercisable at any time and expire on April 22, 2020. The MAM Employee Options vested in installments of 25% on April 22, 2017, 25% on April 22, 2018 and 50% on April 22, 2019. The MAM Employee Options expire on April 22, 2020. F6 · ownership.nature: Represents Options held by MAM. Mr. Moelis shares dispositive power over the Options as a result of his controlling interest in MAM. As part of the process of separating the Asset Management business from the Advisory business at the time of the IPO, MAM purchased the Options from the Company in order for MAM to grant MAM Employee Options to certain MAM employees. MAM purchased the Options for fair value based on a Black Scholes modeled price. The Options were not granted under the Plan. These transactions were approved by the Company's Board under Section 16b-3. Read SEC document
November 08, 2019 Filed Nov 9, 2019 01:40 UTC	Moelis & Co MC · Entity 3898	OtherClass A Common Stock	9,000	$16.70	$150,300.00	Disclosure SEC source: 0001209191-19-055892 · doc4.xml · nonDerivative · entry 6 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 0 F1 · security: Class A Common Stock held by Moelis Asset Management ("MAM") upon exercise of certain Options (as defined in footnote 2 below). Mr. Moelis has voting and dispositive power over the Class A Common Stock as a result of his controlling interest in MAM. F2 · ownership.nature: Represents Class A Common Stock held by MAM. Mr. Moelis shares 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, MAM purchased options to purchase shares of the Company's Class A common stock (the "Options") from the Company in order for MAM to grant stock options to purchase Class A Common Stock of the Company to certain MAM employees (the "MAM Employee Options"). MAM purchased the Options for fair value based on a Black Scholes modeled price. The Options were not granted under the Company's Omnibus Plan. These transactions were approved by the Company's Board under Section 16b-3. Read SEC document
November 08, 2019 Filed Nov 9, 2019 01:40 UTC	Moelis & Co MC · Entity 3898	Exercise / conversionClass A Common Stock	9,000	$16.70	$150,300.00	Disclosure SEC source: 0001209191-19-055892 · 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: 9,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Class A Common Stock held by Moelis Asset Management ("MAM") upon exercise of certain Options (as defined in footnote 2 below). Mr. Moelis has voting and dispositive power over the Class A Common Stock as a result of his controlling interest in MAM. F2 · ownership.nature: Represents Class A Common Stock held by MAM. Mr. Moelis shares 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, MAM purchased options to purchase shares of the Company's Class A common stock (the "Options") from the Company in order for MAM to grant stock options to purchase Class A Common Stock of the Company to certain MAM employees (the "MAM Employee Options"). MAM purchased the Options for fair value based on a Black Scholes modeled price. The Options were not granted under the Company's Omnibus Plan. These transactions were approved by the Company's Board under Section 16b-3. Read SEC document
November 07, 2019 Filed Nov 9, 2019 01:40 UTC	Moelis & Co MC · Entity 3898	OtherMAM Employee Stock Options (Obligation to Sell) · Derivative	14,000	$0.00 Strike: $16.70	$0.00	Disclosure SEC source: 0001209191-19-055892 · doc4.xml · derivative · entry 10 MOELIS KENNETH · CIK 0001604686 · Director · Chairman, CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Partnership Disclosed balance after: 19,868 Underlying: Class A Common Stock · 14,000 shares Expires 2020-04-22 F3 · security: As part of the process of separating the Asset Management business from the Advisory business at the time of the IPO, MAM purchased the Options from the Company in order for MAM to grant the MAM Employee Options to certain MAM employees. These Options are exercisable at any time and expire on April 22, 2020. The MAM Employee Options vested in installments of 25% on April 22, 2017, 25% on April 22, 2018 and 50% on April 22, 2019. The MAM Employee Options expire on April 22, 2020. F4 · derivative.exercise_price: The strike price was revised to $16.70. F7 · kind: Certain MAM employees have exercised a portion of the MAM Employee Options granted to such MAM employees by MAM. F3 · derivative.exercise_date: As part of the process of separating the Asset Management business from the Advisory business at the time of the IPO, MAM purchased the Options from the Company in order for MAM to grant the MAM Employee Options to certain MAM employees. These Options are exercisable at any time and expire on April 22, 2020. The MAM Employee Options vested in installments of 25% on April 22, 2017, 25% on April 22, 2018 and 50% on April 22, 2019. The MAM Employee Options expire on April 22, 2020. F8 · ownership.nature: Represents MAM Employee Options granted by MAM to certain MAM employees. The MAM Employee Options represent an obligation of MAM to sell to MAM employees Class A Common Stock upon exercise of the MAM Employee Options by MAM employees. Mr. Moelis had dispositive power with respect to MAM's rights as the grantor of the MAM Employee Options (obligation to sell) as a result of his controlling interest in MAM. As part of the process of separating the Asset Management business from the Advisory business at the time of the IPO, MAM purchased the Options from the Company in order for MAM to grant MAM Employee Options to certain MAM employees. The MAM Employee Options were not granted under the Company's Omnibus Plan. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.