Moelis Kenneth's Form 4 filing
Moelis & Co (MC) · filed Feb 24, 2022
- Accession no.
- 0001209191-22-012864
- Filed
- Feb 24, 2022
- Trade date
- Feb 22-23, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 6 derivative transactions. Open-market sales total $1.62M. 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 |
|---|---|
| Moelis KennethCIK 0001604686 | Director, Officer (Chairman, CEO), 10% Owner |
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 22, 2022 | Class A Common Stock | MOption exerciseAcquired | +85,931.61 | –F1 | – | 174,053.61 | Direct | |
| Feb 22, 2022 | Class A Common Stock | FTax withholdingDisposed | −6,962.61 | $47.12 | −$328,078.18 | 167,091 | Direct | |
| Feb 22, 2022 | Class A Common Stock | SSaleDisposed | −34,370 | $47.12 | −$1,619,514.4 | 132,721 | 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 22, 2022 | Class A Common Stock | MOption exerciseDisposed | −28,928.14 | $0.00 | $0 | 0 | Direct | |
| Feb 22, 2022 | Class A Common Stock | MOption exerciseDisposed | −5,672.66 | $0.00 | $0 | 5,674.15 | Direct | |
| Feb 22, 2022 | Class A Common Stock | MOption exerciseDisposed | −23,543.42 | $0.00 | $0 | 23,543.42 | Direct | |
| Feb 22, 2022 | Class A Common Stock | MOption exerciseDisposed | −27,787.39 | $0.00 | $0 | 55,574.78 | Direct | |
| Feb 22, 2022 | Class A Common Stock | AGrant or awardAcquired | +161,266 | $0.00 | $0 | 161,266 | Direct | |
| Feb 23, 2022 | Class A Common Stock, par value $0.01 | MOption exerciseDisposed | 0 | –F8 | – | 4,685,898 | 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.
- F8
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.
Referenced by the price of 1 transaction in Table II.