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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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 |
OMB APPROVAL
OMB Number: 3235-0287 Estimated average burden hours per response... 0.5 |
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| 1. Name and Address of Reporting Person * Cantor Eric | 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 |
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3. Date of Earliest Transaction
(MM/DD/YYYY)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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 | ||||||||||
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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 | 2/12/2021 | M | 4609.05 | A | (1) | 88015.05 | D | |||
| Class A Common Stock | 2/12/2021 | F | 2116.05 | D | $53.99 | 85899 | 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 | ||||||||
| 2014 Incentive RSUs Granted in 2015 (December) (2) | (2) | 2/12/2021 | M | 1838.38 | (2) | (2) | Class A Common Stock | 1838.38 | $0.00 | 0 | D | ||||
| 2016 Incentive RSUs (December) (2) | (2) | 2/12/2021 | M | 834.8 | (2) | (2) | Class A Common Stock | 834.8 | $0.00 | 834.8 | D | ||||
| 2017 Incentive RSUs (December) (2) | (2) | 2/12/2021 | M | 541.39 | (2) | (2) | Class A Common Stock | 541.39 | $0.00 | 1082.78 | D | ||||
| 2018 Incentive RSUs (December) (2) | (2) | 2/12/2021 | M | 717.69 | (2) | (2) | Class A Common Stock | 717.69 | $0.00 | 2153.08 | D | ||||
| 2019 Incentive RSUs (December) (2) | (2) | 2/12/2021 | M | 676.8 | (2) | (2) | Class A Common Stock | 676.8 | $0.00 | 2710.53 | 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 February 12, 2021. |
| Reporting Owners | |||||
| Reporting Owner Name / Address | |||||
| Director | 10% Owner | Officer | Other | ||
| Cantor Eric C/O MOELIS & COMPANY 399 PARK AVENUE, 5TH FLOOR NEW YORK, NY 10022 | X | Vice Chairman, MD | |||
| Signatures | ||
| /s/ Osamu Watanabe as attorney-in-fact for Eric Cantor | 2/12/2021 | |
| **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. | |