Watanabe Osamu R.'s Form 4 filing
Moelis & Co (MC) · filed Feb 23, 2024
- Accession no.
- 0000950170-24-019597
- Filed
- Feb 23, 2024
- Trade date
- Feb 21-23, 2024
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 4 non-derivative transactions and 5 derivative transactions. Open-market sales total $723.4K. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Watanabe Osamu R.CIK 0001604471 | Officer (General Counsel, Secretary) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 21, 2024 | Class A Common Stock | MOption exerciseAcquired | +13,555.93 | –F1 | – | 13,686.93 | Direct | |
| Feb 21, 2024 | Class A Common Stock | FTax withholdingDisposed | −1.93 | $52.60 | −$101.52 | 13,685 | Direct | |
| Feb 21, 2024 | Class A Common Stock | SSaleDisposed | −7,685 | $52.60 | −$404,231 | 6,000 | Direct | |
| Feb 23, 2024 | Class A Common Stock | SSaleDisposed | −5,869 | $54.38 | −$319,156.22 | 131 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 21, 2024 | Class A Common Stock | MOption exerciseDisposed | −3,465.2 | $0.00 | $0 | 0 | Direct | |
| Feb 21, 2024 | Class A Common Stock | MOption exerciseDisposed | −4,248.35 | $0.00 | $0 | 4,248.35 | Direct | |
| Feb 21, 2024 | Class A Common Stock | MOption exerciseDisposed | −2,056.26 | $0.00 | $0 | 4,112.51 | Direct | |
| Feb 21, 2024 | Class A Common Stock | MOption exerciseDisposed | −1,938.22 | $0.00 | $0 | 5,818 | Direct | |
| Feb 21, 2024 | Class A Common Stock | MOption exerciseDisposed | −1,847.9 | $0.00 | $0 | 7,394.77 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Shares of Class A Common Stock were acquired upon settlement of Restricted Stock Units (RSUs)
Referenced by the price of 1 transaction in Table I.