Raich Jeffrey's Form 4 filing
Moelis & Co (MC) · filed Feb 24, 2023
- Accession no.
- 0001209191-23-012998
- 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 4 non-derivative transactions and 6 derivative transactions. Open-market sales total $1.54M. 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 |
|---|---|
| Raich JeffreyCIK 0001604691 | Director, Officer (Co-President, MD) |
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 | +58,495.85 | –F1 | – | 58,495.85 | Direct | |
| Feb 22, 2023 | Class A Common Stock | FTax withholdingDisposed | −10,179.85 | $42.06 | −$428,164.49 | 48,316 | Direct | |
| Feb 22, 2023 | Class A Common Stock | MOption exerciseAcquired | +32,986 | –F2 | – | 81,302 | Direct | |
| Feb 22, 2023 | Class A Common Stock | SSaleDisposed | −36,592 | $42.06 | −$1,539,059.52 | 44,710 | 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 | −24,821.73 | $0.00 | $0 | 0 | Direct | |
| Feb 22, 2023 | Class A Common Stock | MOption exerciseDisposed | −16,565.11 | $0.00 | $0 | 16,566.54 | Direct | |
| Feb 22, 2023 | Class A Common Stock | MOption exerciseDisposed | −17,109.01 | $0.00 | $0 | 34,218.03 | Direct | |
| Feb 22, 2023 | Class A Common Stock | MOption exerciseDisposed | −32,986 | –F2 | – | 49,479 | Direct | |
| Feb 22, 2023 | Class A Common Stock | AGrant or awardAcquired | +34,094 | $0.00 | $0 | 34,094 | Direct | |
| Feb 22, 2023 | Class A Common Stock | AGrant or awardAcquired | +82,109 | $0.00 | $0 | 82,109 | 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.
- F2
On February 22, 2023 certain of the holder's LP units in Moelis & Company Group Employee Holdings LP ("MCGEH") granted in February 2021 for compensation awarded for the 2020 fiscal year (the "2020 LP Units") were exchanged for an equal number of shares of Moelis & Company Class A common stock pursuant to the terms of the Second Amended and Restated Limited Partnership Agreement of MCGEH.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.