Osamu R. Watanabe - 22 Feb 2022 Form 4 Insider Report for Moelis & Co (MC)

Role
General Counsel, Secretary
Signature
/s/ Osamu Watanabe
Issuer symbol
MC
Transactions as of
22 Feb 2022
Net transactions value
-$381,840
Form type
4
Filing time
24 Feb 2022, 18:47:55 UTC
Previous filing
22 Feb 2022
Next filing
01 Mar 2022
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 +15,587 +11898% 15,718 22 Feb 2022 Direct F1
transaction MC Class A Common Stock Tax liability $88,188 -1,872 -12% $47.12 13,846 22 Feb 2022 Direct
transaction MC Class A Common Stock Sale $293,652 -6,232 -45% $47.12 7,614 22 Feb 2022 Direct 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 2016 Incentive Restricted Stock Units Options Exercise $0 -3,773 -100% $0.000000* 0 22 Feb 2022 Class A Common Stock 3,773 Direct F3
transaction MC 2017 Incentive Restricted Stock Units Options Exercise $0 -3,035 -50% $0.000000 3,035 22 Feb 2022 Class A Common Stock 3,035 Direct F3
transaction MC 2018 Incentive Restricted Stock Units Options Exercise $0 -3,113 -33% $0.000000 6,227 22 Feb 2022 Class A Common Stock 3,113 Direct F3
transaction MC 2019 Incentive Restricted Stock Units Options Exercise $0 -3,818 -25% $0.000000 11,455 22 Feb 2022 Class A Common Stock 3,818 Direct F3
transaction MC 2020 Incentive Restricted Stock Units Options Exercise $0 -1,847 -20% $0.000000 7,392 22 Feb 2022 Class A Common Stock 1,847 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares of Class A Common Stock were acquired upon settlement of Restricted Stock Units (RSUs).
F2 Class A Common Stock sold by Mr. Watanabe in order to raise proceeds to satisfy tax obligations triggered by delivery of the Class A Common Stock upon settlement of the RSUs. Federal taxes are not withheld from Class A Common Stock delivered to Mr. Watanabe upon settlement of RSUs because he is a partner in Moelis & Company Partner Holdings LP.
F3 The RSUs were settled for Class A common stock on February 22, 2022.