Watanabe Osamu R.'s Form 4 filing
Moelis & Co (MC) · filed Feb 24, 2023
- Accession no.
- 0001209191-23-012926
- Filed
- Feb 24, 2023
- Trade date
- Feb 22, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 5 derivative transactions. Open-market sales total $240.4K. 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 22, 2023 | Class A Common Stock | MOption exerciseAcquired | +14,292.8 | –F1 | – | 14,423.8 | Direct | |
| Feb 22, 2023 | Class A Common Stock | FTax withholdingDisposed | −2,446.8 | $42.06 | −$102,912.41 | 11,977 | Direct | |
| Feb 22, 2023 | Class A Common Stock | SSaleDisposed | −5,716 | $42.06 | −$240,414.96 | 6,261 | 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, 2023 | Class A Common Stock | MOption exerciseDisposed | −3,200.17 | $0.00 | $0 | 0 | Direct | |
| Feb 22, 2023 | Class A Common Stock | MOption exerciseDisposed | −3,282.05 | $0.00 | $0 | 3,283.48 | Direct | |
| Feb 22, 2023 | Class A Common Stock | MOption exerciseDisposed | −4,025.57 | $0.00 | $0 | 8,051.15 | Direct | |
| Feb 22, 2023 | Class A Common Stock | MOption exerciseDisposed | −1,948.43 | $0.00 | $0 | 5,845.29 | Direct | |
| Feb 22, 2023 | Class A Common Stock | MOption exerciseDisposed | −1,836.58 | $0.00 | $0 | 7,349.5 | 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.