SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Cantor Eric

(Last) (First) (Middle)
C/O MOELIS & COMPANY
399 PARK AVENUE, 5TH FLOOR

(Street)
NEW YORK NY 10022

(City) (State) (Zip)
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
X Officer (give title below) Other (specify below)
Vice Chairman, MD
3. Date of Earliest Transaction (Month/Day/Year)
05/01/2019
4. If Amendment, Date of Original Filed (Month/Day/Year)
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. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction 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 05/01/2019 M 26,557.848 A (1) 58,189.848 D
Class A Common Stock 05/01/2019 F 11,985.848 D $37.5 46,204 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction 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 (Month/Day/Year) 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: 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
2014 Incentive RSUs Granted in 2015 (December)(2) (2) 05/01/2019 M 1,574.39 (2) (2) Class A Common Stock 1,574.39 $0.00 3,148.787 D
2015 Incentive RSUs(2) (2) 05/01/2019 M 5,336.933 (2) (2) Class A Common Stock 5,336.933 $0.00 10,673.867 D
2015 Incentive RSUs (March)(2) (2) 05/01/2019 M 1,536.708 (2) (2) Class A Common Stock 1,536.708 $0.00 1,536.708 D
2016 Incentive RSUs(2) (2) 05/01/2019 M 3,212.004 (2) (2) Class A Common Stock 3,212.004 $0.00 9,637.229 D
2016 Incentive RSUs (March)(2) (2) 05/01/2019 M 944.96 (2) (2) Class A Common Stock 944.96 $0.00 1,889.919 D
2016 Incentive RSUs Granted (December)(2) (2) 05/01/2019 M 714.82 (2) (2) Class A Common Stock 714.82 $0.00 2,144.484 D
2017 Incentive RSUs(2) (2) 05/01/2019 M 5,215.825 (2) (2) Class A Common Stock 5,215.825 $0.00 20,864.442 D
2017 Restricted Stock Unit Award for MD(2) (2) 05/01/2019 M 6,468.057 (2) (2) Class A Common Stock 6,468.057 $0.00 19,406.579 D
2017 Incentive RSUs (March)(2) (2) 05/01/2019 M 646.806 (2) (2) Class A Common Stock 646.806 $0.00 1,940.417 D
2017 Incentive RSUs (December)(2) (2) 05/01/2019 M 463.78 (2) (2) Class A Common Stock 463.78 $0.00 1,855.127 D
2018 Incentive RSUs (March)(2) (2) 05/01/2019 M 443.566 (2) (2) Class A Common Stock 443.566 $0.00 1,775.365 D
Explanation of Responses:
1. Shares of Class A Common Stock were acquired upon settlement of Restricted Stock Units (RSUs).
2. The RSUs were settled for Class A common stock on May 1, 2019.
Remarks:
/s/ Osamu Watanabe as attorney-in-fact for Eric Cantor 05/03/2019
** 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.
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