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MC Moelis and Company

51.58
-0.28 (-0.54%)
03 May 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Moelis and Company NYSE:MC NYSE Common Stock
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  -0.28 -0.54% 51.58 52.40 51.41 52.38 466,804 22:30:00

Statement of Changes in Beneficial Ownership (4)

05/05/2015 10:03pm

Edgar (US Regulatory)


FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Shropshire Kenneth
2. Issuer Name and Ticker or Trading Symbol

Moelis & Co [ MC ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__ X __ Director                      _____ 10% Owner
_____ Officer (give title below)      _____ Other (specify below)
(Last)          (First)          (Middle)

C/O MOELIS & COMPANY, 399 PARK AVENUE, 5TH FLOOR
3. Date of Earliest Transaction (MM/DD/YYYY)

5/4/2015
(Street)

NEW YORK NY
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Class A Common Stock   5/4/2015     M    77.7059   A   (1) 231.7059   D    
Class A Common Stock   5/4/2015     D    .7059   (2) D $19.17   (6) 231   D    

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Director Restricted Stock Units     (3) 5/4/2015     C         77.7059      (4)   (4) Class A Common Stock   77.7059   $0   78.76   (5) D    

Explanation of Responses:
( 1)  Shares of Class A Common Stock were acquired upon settlement of Restricted Stock Units (RSUs).
( 2)  Pursuant to the terms of the RSUs, fractional shares were settled for cash.
( 3)  Each RSU represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share pursuant to the Moelis & Company 2014 Omnibus Incentive Plan.
( 4)  The RSUs vested on April 1, 2015 and were settled on May 4, 2015.
( 5)  The remaining Director RSUs vest on July 1, 2015 if Mr. Shropshire is a Nonemployee Director on such date.
( 6)  Based on the closing price per share of Class A common stock of $27.15 on May 1, 2015.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Shropshire Kenneth
C/O MOELIS & COMPANY
399 PARK AVENUE, 5TH FLOOR
NEW YORK NY
X



Signatures
/s/ Osamu Watanabe as attorney-in-fact for Kenneth Shropshire 5/5/2015
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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