Moelis & Co Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 43 rows, 43 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-02-14: Reporting owner MOELIS KENNETH; Form 4; Security Stock Options (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2020-02-14: Reporting owner MOELIS KENNETH; Form 4; Security MAM Employee Stock Options (Obligation to Sell); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2020-02-07: Reporting owner WATANABE OSAMU R.; Form 4; Security IPO Options (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2019-11-13: Reporting owner MOELIS KENNETH; Form 4; Security Stock Options (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
MC insiders transactions against the stock price
Blue: Split-adjusted close · Orange: Cumulative dividend-reinvested close
Logarithmic scale. Both lines share the same starting value for the selected range.
Markers: each transaction type positioned at that session's split-adjusted close. Tooltips retain the reported transaction price when available.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2020-02-14 | MOELIS KENNETH Director, Officer (Chairman, CEO), 10% Owner | 4 | Stock Options (Right to Buy) Derivative · Indirect · By Partnership | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +6,000 0 owned after | $15.95 exercise price | $36.48 | 2020-02-19 |
| 2020-02-14 | MOELIS KENNETH Director, Officer (Chairman, CEO), 10% Owner | 4 | MAM Employee Stock Options (Obligation to Sell) Derivative · Indirect · By Partnership | X Exercise of in-the-money or at-the-money derivative security | −6,000 0 owned after | $15.95 exercise price | $36.48 | 2020-02-19 |
| 2020-02-07 | WATANABE OSAMU R. Officer (General Counsel, Secretary) | 4 | IPO Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 0 owned after | $16.70 exercise price | $39.12 | 2020-02-11 |
| 2019-11-13 | MOELIS KENNETH Director, Officer (Chairman, CEO), 10% Owner | 4 | Stock Options (Right to Buy) Derivative · Indirect · By Partnership | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +1,418 6,000 owned after | $16.70 exercise price | $34.01 | 2019-11-13 |
| 2019-11-13 | MOELIS KENNETH Director, Officer (Chairman, CEO), 10% Owner | 4 | MAM Employee Stock Options (Obligation to Sell) Derivative · Indirect · By Partnership | X Exercise of in-the-money or at-the-money derivative security | −1,418 6,000 owned after | $16.70 exercise price | $34.01 | 2019-11-13 |
| 2019-11-11 | MOELIS KENNETH Director, Officer (Chairman, CEO), 10% Owner | 4 | Stock Options (Right to Buy) Derivative · Indirect · By Partnership | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +3,450 7,418 owned after | $16.70 exercise price | $35.21 | 2019-11-13 |
| 2019-11-11 | MOELIS KENNETH Director, Officer (Chairman, CEO), 10% Owner | 4 | MAM Employee Stock Options (Obligation to Sell) Derivative · Indirect · By Partnership | X Exercise of in-the-money or at-the-money derivative security | −3,450 7,418 owned after | $16.70 exercise price | $35.21 | 2019-11-13 |
| 2019-11-08 | MOELIS KENNETH Director, Officer (Chairman, CEO), 10% Owner | 4 | Stock Options (Right to Buy) Derivative · Indirect · By Partnership | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +9,000 10,868 owned after | $16.70 exercise price | $35.16 | 2019-11-08 |
| 2019-11-08 | MOELIS KENNETH Director, Officer (Chairman, CEO), 10% Owner | 4 | MAM Employee Stock Options (Obligation to Sell) Derivative · Indirect · By Partnership | X Exercise of in-the-money or at-the-money derivative security | −9,000 10,868 owned after | $16.70 exercise price | $35.16 | 2019-11-08 |
| 2019-11-07 | MOELIS KENNETH Director, Officer (Chairman, CEO), 10% Owner | 4 | Stock Options (Right to Buy) Derivative · Indirect · By Partnership | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +14,000 19,868 owned after | $16.70 exercise price | $35.16 | 2019-11-08 |
| 2019-11-07 | MOELIS KENNETH Director, Officer (Chairman, CEO), 10% Owner | 4 | MAM Employee Stock Options (Obligation to Sell) Derivative · Indirect · By Partnership | X Exercise of in-the-money or at-the-money derivative security | −14,000 19,868 owned after | $16.70 exercise price | $35.16 | 2019-11-08 |
| 2019-11-06 | MOELIS KENNETH Director, Officer (Chairman, CEO), 10% Owner | 4 | Stock Options (Right to Buy) Derivative · Indirect · By Partnership | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +21,400 33,868 owned after | $16.70 exercise price | $34.99 | 2019-11-08 |
| 2019-11-06 | MOELIS KENNETH Director, Officer (Chairman, CEO), 10% Owner | 4 | MAM Employee Stock Options (Obligation to Sell) Derivative · Indirect · By Partnership | X Exercise of in-the-money or at-the-money derivative security | −21,400 33,868 owned after | $16.70 exercise price | $34.99 | 2019-11-08 |
| 2019-11-04 | WATANABE OSAMU R. Officer (General Counsel, Secretary) | 4 | Top Up Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,776 0 owned after | $16.70 exercise price | $35.37 | 2019-11-05 |
| 2019-11-04 | WATANABE OSAMU R. Officer (General Counsel, Secretary) | 4 | IPO Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 10,000 owned after | $16.70 exercise price | $35.37 | 2019-11-05 |
| 2019-11-01 | RAICH JEFFREY Director, Officer (Co-President, MD) | 4 | Top Up Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,934 0 owned after | $16.70 exercise price | $35.18 | 2019-11-05 |
| 2019-08-29 | SIMON JOSEPH Officer (Chief Financial Officer) | 4 | Top Up Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,528 0 owned after | $16.70 exercise price | $33.71 | 2019-09-03 |
| 2019-08-29 | SIMON JOSEPH Officer (Chief Financial Officer) | 4 | IPO Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,000 0 owned after | $16.70 exercise price | $33.71 | 2019-09-03 |
| 2019-06-03 | CRAIN ELIZABETH Director, Officer (Chief Operating Officer) | 4 | Top Up Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,669 0 owned after | $16.70 exercise price | $32.24 | 2019-06-05 |
| 2019-06-03 | CRAIN ELIZABETH Director, Officer (Chief Operating Officer) | 4 | IPO Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,000 0 owned after | $16.70 exercise price | $32.24 | 2019-06-05 |
| 2019-05-03 | Callesano Christopher Officer (Principal Accounting Officer) | 4 | IPO Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,500 0 owned after | $0.00 | $37.78 | 2019-05-03 |
| 2018-05-15 | CRAIN ELIZABETH Officer (Chief Operating Officer) | 4 | Top Up Options (Right To Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,668 6,669 owned after | $19.45 exercise price | $57.70 | 2018-05-16 |
| 2018-05-14 | RAICH JEFFREY Director, Officer (MD & Co-President) | 4 | Top Up Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,967 13,934 owned after | $19.45 exercise price | $56.70 | 2018-05-16 |
| 2018-05-14 | SIMON JOSEPH Officer (Chief Financial Officer) | 4 | Top Up Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,263 2,528 owned after | $19.45 exercise price | $56.70 | 2018-05-16 |
| 2018-04-25 | Callesano Christopher Officer (ED & Principal Acct Officer) | 4 | IPO Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,750 3,500 owned after | $19.45 exercise price | $53.70 | 2018-04-26 |
| 2017-05-09 | SIMON JOSEPH Officer (Chief Financial Officer) | 4 | Top Up Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,263 3,791 owned after | $21.95 exercise price | $38.15 | 2017-05-11 |
| 2017-04-27 | RAICH JEFFREY Director, Officer (MD & Co-President) | 4 | Top Up Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,967 20,901 owned after | $21.95 exercise price | $37.00 | 2017-04-28 |
| 2017-04-27 | Callesano Christopher Officer (SVP & Principal Acct Officer) | 4 | IPO Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,750 5,250 owned after | $21.95 exercise price | $37.00 | 2017-04-28 |
| 2016-08-12 holding as of filing | Callesano Christopher Officer (SVP & Principal Acct Officer) | 3 | IPO Options (Right to Buy) Derivative · Direct | Holding | $23.20 exercise price | 2016-08-12 | ||
| 2015-11-04 | MOELIS KENNETH Director, Officer (Chairman and CEO), 10% Owner | 4 | Stock Options (Right to Buy) Derivative · Indirect · By Partnership | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +525 55,268 owned after | $8.28 | $29.95 | 2016-02-12 |
| 2015-10-30 | MOELIS KENNETH Director, Officer (Chairman and CEO), 10% Owner | 4 | MAM Employee Stock Options (Right to Buy) Derivative · Indirect · By Partnership | J Other acquisition or disposition (describe transaction) | +525 0 owned after | $7.31 | $29.48 | 2016-02-12 |
| 2015-05-15 | MOELIS KENNETH Director, Officer (Chairman and CEO), 10% Owner | 4 | Stock Options (Right to Buy) Derivative · Indirect · By Partnership | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +11,552 55,793 owned after | $7.77 | $28.71 | 2016-02-12 |
| 2015-02-13 | MOELIS KENNETH Director, Officer (Chairman and CEO), 10% Owner | 4 | MAM Employee Stock Options (Right to Buy) Derivative · Indirect · By Partnership | J Other acquisition or disposition (describe transaction) | +11,552 0 owned after | $7.31 | $30.79 | 2016-02-12 |
| 2014-04-15 | MOELIS KENNETH Director, Officer (Chairman and CEO), 10% Owner | 4/A | Stock Options (Right to Buy) Derivative · Indirect · By Partnership | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +67,345 67,345 owned after | $7.31 | 2016-02-12 | |
| 2014-04-15 | MOELIS KENNETH Director, Officer (Chairman and CEO), 10% Owner | 4/A | MAM Employee Stock Options (Right to Buy) Derivative · Indirect · By Partnership | S Open market or private sale of non-derivative or derivative security | +67,345 0 owned after | $7.31 | 2016-02-12 | |
| 2014-04-15 | WATANABE OSAMU R. Officer (General Counsel and Secretary) | 4 | Top Up Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,776 5,776 owned after | $25.00 exercise price | 2014-04-17 | |
| 2014-04-15 | WATANABE OSAMU R. Officer (General Counsel and Secretary) | 4 | IPO Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $25.00 exercise price | 2014-04-17 | |
| 2014-04-15 | SIMON JOSEPH Officer (Chief Financial Officer) | 4 | Top Up Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,054 5,054 owned after | $25.00 exercise price | 2014-04-17 | |
| 2014-04-15 | SIMON JOSEPH Officer (Chief Financial Officer) | 4 | IPO Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $25.00 exercise price | 2014-04-17 | |
| 2014-04-15 | RAICH JEFFREY Director, Officer (Managing Director) | 4 | Top Up Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,868 27,868 owned after | $25.00 exercise price | 2014-04-17 | |
| 2014-04-15 | LEAMAN J RICHARD III Director, Officer (Managing Partner) | 4 | Top Up Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,784 45,784 owned after | $25.00 exercise price | 2014-04-17 | |
| 2014-04-15 | CRAIN ELIZABETH Officer (Chief Operating Officer) | 4 | Top Up Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,337 13,337 owned after | $25.00 exercise price | 2014-04-17 | |
| 2014-04-15 | CRAIN ELIZABETH Officer (Chief Operating Officer) | 4 | IPO Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $25.00 exercise price | 2014-04-17 |