Kenneth Moelis - Mar 7, 2025 Form 4 Insider Report for Moelis & Co (MC)

Role
Chairman, CEO, Director
Signature
/s/ Osamu Watanabe as attorney-in-fact for Kenneth Moelis
Stock symbol
MC
Transactions as of
Mar 7, 2025
Transactions value $
$0
Form type
4
Date filed
3/7/2025, 07:37 PM
Previous filing
Feb 21, 2025
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction MC Class A Common Stock Options Exercise +2 +0% 209K Mar 7, 2025 Direct F1, F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction MC Class B Common Stock, par value $0.01 Options Exercise -3.75K -0.09% 4.32M Mar 7, 2025 Class A Common Stock, par value $0.01 2 Direct F1, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The conversion covered by this footnote automatically occurred pursuant to the terms of the Company's Amended and Restated Certificate of Incorporation when certain Group Units were exchanged for Class A common stock by certain selling Stockholders.
F2 Mr. Moelis' ownership of 209,237 shares of Class A common stock is in addition to (i) 683,657 units of unvested or restricted equity granted to Mr. Moelis as incentive compensation for fiscal years 2020 through 2024, (ii) 318,769 units of unvested equity granted to Mr. Moelis in February, 2025 pursuant to a retention award, (iii) 93,623 units of equity that are subject to vesting and performance provisions granted to Mr. Moelis as incentive compensation for fiscal year 2022, (iv) 3,976,314 shares of Class A common stock issuable in exchange for Group Units held by The Moelis Family Trust
F3 Each share of Class B common stock is convertible into approximately 0.00055 shares of Class A common stock in certain circumstances, including when and if certain holders of Group Units elect to exchange such units for Class A common stock. Such conversions of Class B common stock may often result in conversion into less than 1 share of Class A common stock and in such case in lieu of such fractional share, the Company will pay the holder (Partner Holdings) cash equal to the Value (as defined in the Company's Amended and Restated Certificate of Incorporation) of the fractional share of Class A common stock.