Osamu R. Watanabe - 22 Feb 2023 Form 4 Insider Report for Moelis & Co (MC)

Role
General Counsel, Secretary
Signature
/s/ Osamu Watanabe
Issuer symbol
MC
Transactions as of
22 Feb 2023
Net transactions value
-$343,327
Form type
4
Filing time
24 Feb 2023, 18:22:10 UTC
Previous filing
21 Feb 2023
Next filing
01 Mar 2023
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 +14,293 +10911% 14,424 22 Feb 2023 Direct F1
transaction MC Class A Common Stock Tax liability $102,912 -2,447 -17% $42.06 11,977 22 Feb 2023 Direct
transaction MC Class A Common Stock Sale $240,415 -5,716 -48% $42.06 6,261 22 Feb 2023 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 2017 Incentive Restricted Stock Units Options Exercise $0 -3,200 -100% $0.000000* 0 22 Feb 2023 Class A Common Stock 3,200 Direct F3
transaction MC 2018 Incentive Restricted Stock Units Options Exercise $0 -3,282 -50% $0.000000 3,283 22 Feb 2023 Class A Common Stock 3,282 Direct F3
transaction MC 2019 Incentive Restricted Stock Units Options Exercise $0 -4,026 -33% $0.000000 8,051 22 Feb 2023 Class A Common Stock 4,026 Direct F3
transaction MC 2020 Incentive Restricted Stock Units Options Exercise $0 -1,948 -25% $0.000000 5,845 22 Feb 2023 Class A Common Stock 1,948 Direct F3
transaction MC 2021 Incentive Restricted Stock Units Options Exercise $0 -1,837 -20% $0.000000 7,350 22 Feb 2023 Class A Common Stock 1,837 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, 2023.