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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 | ||||||
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 | ||||||||
| 2015 Incentive RSUs Granted in 2015 (Quarterly Awards) | $0.00 (1) | 6/30/2020 | A | 43.36 | (2) | (2) | Class A Common Stock | 43.36 | $0.00 | 5342.29 | D | ||||
| 2015 Incentive RSUs | $0.00 (1) | 6/30/2020 | A | 47.65 | (3) | (3) | Class A Common Stock | 47.65 | $0.00 | 5870.88 | D | ||||
| 2016 Incentive RSUs Granted in 2016 (Quarterly Awards) | $0.00 (1) | 6/30/2020 | A | 58.07 | (4) | (4) | Class A Common Stock | 58.07 | $0.00 | 7153.97 | D | ||||
| 2016 Incentive RSUs | $0.00 (1) | 6/30/2020 | A | 57.37 | (5) | (5) | Class A Common Stock | 57.37 | $0.00 | 7068.04 | D | ||||
| 2017 Incentive RSUs Granted in 2017 (Quarterly Awards) | $0.00 (1) | 6/30/2020 | A | 54.63 | (6) | (6) | Class A Common Stock | 54.63 | $0.00 | 6729.73 | D | ||||
| 2017 Incentive RSUs | $0.00 (1) | 6/30/2020 | A | 139.73 | (7) | (7) | Class A Common Stock | 139.73 | $0.00 | 17214.19 | D | ||||
| 2017 Restricted Stock Unit Award for MD | $0.00 (1) | 6/30/2020 | A | 115.53 | (8) | (8) | Class A Common Stock | 115.53 | $0.00 | 14232.96 | D | ||||
| 2017 Long Term Incentive Award | $0.00 (1) | 6/30/2020 | A | 97.02 | (7) | (7) | Class A Common Stock | 97.02 | $0.00 | 11952.8 | D | ||||
| 2018 Incentive RSUs Granted in 2018 (Quarterly Awards) | $0.00 (1) | 6/30/2020 | A | 60.24 | (9) | (9) | Class A Common Stock | 60.24 | $0.00 | 7422.01 | D | ||||
| 2018 Incentive RSUs | $0.00 (1) | 6/30/2020 | A | 270.74 | (10) | (10) | Class A Common Stock | 270.74 | $0.00 | 33354.18 | D | ||||
| 2019 Incentive RSUs Granted in 2019 (Quarterly Awards) | $0.00 (1) | 6/30/2020 | A | 95.19 | (11) | (11) | Class A Common Stock | 95.19 | $0.00 | 11727.31 | D | ||||
| 2019 Incentive RSUs | $0.00 (1) | 6/30/2020 | A | 304.78 | (12) | (12) | Class A Common Stock | 304.78 | $0.00 | 37548.23 | D | ||||
| 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 | 7/2/2020 | |
| **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. | |