Moelis Kenneth's Form 4 filing
Moelis & CoMC · filed Feb 24, 2023
- Accession no.
- 0001209191-23-012995
- Filed
- Feb 24, 2023
- Trade date
- Feb 22-23, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 8 derivative transactions. Open-market sales total $1.91M. 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, 2023 | Class A Common Stock | MOption exerciseAcquired | +113,769.16 | –F1 | – | 163,596.16 | Direct | |
| Feb 22, 2023 | Class A Common Stock | FTax withholdingDisposed | −19,798.16 | $42.06 | −$832,710.61 | 143,798 | Direct | |
| Feb 22, 2023 | Class A Common Stock | SSaleDisposed | −45,507 | $42.06 | −$1,914,024.42 | 98,291 | Direct | |
| Feb 23, 2023 | Class A Common Stock | MOption exerciseAcquired | +80 | –F3 | – | 98,371 | 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 | −5,982.24 | $0.00 | $0 | 0 | Direct | |
| Feb 22, 2023 | Class A Common Stock | MOption exerciseDisposed | −24,821.73 | $0.00 | $0 | 0 | Direct | |
| Feb 22, 2023 | Class A Common Stock | MOption exerciseDisposed | −29,296.13 | $0.00 | $0 | 29,296.13 | Direct | |
| Feb 22, 2023 | Class A Common Stock | MOption exerciseDisposed | −53,669.05 | $0.00 | $0 | 107,357.81 | Direct | |
| Feb 22, 2023 | Class A Common Stock | AGrant or awardAcquired | +113,646 | $0.00 | $0 | 113,646 | Direct | |
| Feb 22, 2023 | Class A Common Stock | AGrant or awardAcquired | +251,159 | $0.00 | $0 | 251,159 | Direct | |
| Feb 22, 2023 | Class A Common Stock | AGrant or awardAcquired | +28,979 | $0.00 | $0 | 28,979 | Direct | |
| Feb 23, 2023 | Class A Common Stock, par value $0.01 | MOption exerciseDisposed | −80 | –F3 | – | 4,489,778 | 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 of the Issuer ("Class A Common Stock") were acquired upon settlement of Restricted Stock Units (RSUs).
Referenced by the price of 1 transaction in Table I.
- F3
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 who received such Group Units in connection with the Company's public offering closed on April 21, 2014.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.