Moelis director Barker Thorold granted RSUs

A Moelis & Co director received small RSU dividend-equivalent awards tied to prior annual grants, with vesting aligned to the original RSUs.

Rhea-AI Filing Summary

Moelis & Co (MC) director Barker Thorold reported two acquisitions of restricted stock units on September 17, 2026. He received 18.18 2025 Annual RSUs and 16.87 2026 Annual RSUs as dividend equivalents on previously granted Annual RSUs. Each RSU represents one share of Class A Common Stock and will vest concurrently with the related underlying Annual RSUs.

Insider Trade Summary

Grant/Award: 35.05 shares

Grant/Award 2 txns

Insider Barker Thorold

Role Director

Type	Security	Shares	Price	Value
Grant/Award	2025 Annual Restricted Stock Units F1, F2	18.18	--	--
Grant/Award	2026 Annual Restricted Stock Units F1, F3	16.87	--	--

Holdings After Transaction: 2025 Annual Restricted Stock Units — 1,683.43 shares (Direct); 2026 Annual Restricted Stock Units — 1,561.87 shares (Direct)

Footnotes (3)

1. F1. Each Restricted Stock Unit (RSU) represents the right to receive one share of Class A Common Stock.
2. F2. 2025 Annual RSUs were issued as dividend equivalents on holder's underlying Annual RSUs issued on July 14, 2025. The dividend equivalent Annual RSUs will vest concurrently with the vesting of the underlying Annual RSUs.
3. F3. 2026 Annual RSUs were issued as dividend equivalents on holder's underlying Annual RSUs issued on July 1, 2026. The dividend equivalent Annual RSUs will vest concurrently with the vesting of the underlying Annual RSUs.

Key Figures

2025 Annual RSUs granted: 18.18 RSUs 2026 Annual RSUs granted: 16.87 RSUs 2025 Annual RSUs held after grant: 1,683.43 RSUs +3 more

6 metrics

2025 Annual RSUs granted 18.18 RSUs Dividend equivalent RSUs granted on September 17, 2026

2026 Annual RSUs granted 16.87 RSUs Dividend equivalent RSUs granted on September 17, 2026

2025 Annual RSUs held after grant 1,683.43 RSUs Total 2025 Annual RSUs following the September 17, 2026 award

2026 Annual RSUs held after grant 1,561.87 RSUs Total 2026 Annual RSUs following the September 17, 2026 award

Transaction date September 17, 2026 Date both RSU dividend-equivalent awards were reported

Rule 10b5-1 status Checkbox not affirmed Filing indicates transactions were not affirmed as under a Rule 10b5-1 plan

Key Terms

Restricted Stock Unit (RSU), dividend equivalents, Class A Common Stock, Rule 10b5-1

4 terms

Restricted Stock Unit (RSU) financial

"Each Restricted Stock Unit (RSU) represents the right to receive one share"

A restricted stock unit (RSU) is a promise from a company to give an employee company shares (or cash equal to their value) at a future date if certain conditions are met, such as staying with the company or hitting performance targets. For investors, RSUs matter because when they convert into actual shares they increase the number of shares available and can create selling pressure as employees cash out—think of them as a future paycheck paid in company stock.

dividend equivalents financial

"2025 Annual RSUs were issued as dividend equivalents on holder's underlying"

Payments tied to employee or contractor equity awards that mirror the cash dividends paid on the company’s stock; they give the holder the same economic benefit as owning the shares without transferring actual shares—often paid in cash or additional award units when the award becomes payable. Investors care because these payments affect a company’s compensation costs, cash flow and potential share dilution, and they signal how management is being rewarded and aligned with shareholders.

Class A Common Stock financial

"the right to receive one share of Class A Common Stock"

Class A common stock is a category of a company’s shares that carries a specific set of ownership rights—most commonly defined voting power and claims on dividends—set out in the company’s charter. For investors it matters because the class determines how much influence you have over corporate decisions, the share’s likely dividend and trading behavior, and how it compares in value to other share classes, like choosing a particular seat with different privileges at the company’s decision-making table.

Rule 10b5-1 regulatory

"The filing’s Rule 10b5-1 checkbox is explicitly unchecked"

Rule 10b5-1 is a regulation that allows company insiders to buy or sell their shares at predetermined times, even if they have access to non-public information. It acts like setting a schedule in advance for transactions, helping prevent accusations of unfair trading. This rule provides a way for insiders to plan trades transparently, giving investors confidence that these transactions are not based on hidden information.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transaction did Moelis & Co (MC) report for Barker Thorold?

Moelis & Co reported that director Barker Thorold received 18.18 2025 Annual RSUs and 16.87 2026 Annual RSUs on September 17, 2026, both as dividend equivalent awards on his previously issued Annual RSUs.

Are Barker Thorold’s new Moelis & Co (MC) RSUs open-market purchases or grants?

They are grants, not open-market purchases. The Form 4 classifies both as grant, award, or other acquisition of non-derivative securities, issued as dividend equivalents on underlying Annual RSUs.

How many Moelis & Co (MC) shares can Barker Thorold receive from these RSUs?

Each Restricted Stock Unit (RSU) represents the right to receive one share of Class A Common Stock. The new awards therefore represent rights to 18.18 and 16.87 Class A shares, respectively, upon vesting and settlement.

When will the new Moelis & Co (MC) RSU dividend equivalents vest for Barker Thorold?

The dividend equivalent 2025 Annual RSUs and 2026 Annual RSUs will vest concurrently with the vesting of the corresponding underlying Annual RSUs granted on July 14, 2025 and July 1, 2026, respectively.

Were Barker Thorold’s Moelis & Co (MC) RSU transactions under a Rule 10b5-1 plan?

No. The filing’s Rule 10b5-1 checkbox is explicitly unchecked, and no footnote indicates that these RSU awards were made under any Rule 10b5-1 trading arrangement.

What are Barker Thorold’s Moelis & Co (MC) RSU holdings after these transactions?

After the 2025 Annual RSU award, total holdings in that line are reported as 1,683.43 RSUs. After the 2026 Annual RSU dividend-equivalent award, that line shows 1,561.87 RSUs held, each representing a right to one Class A share.

AI-generated analysis. How Rhea-AI works. Not financial advice.

Form 4 Insider Transactions: What Each Field Means →

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Available on EDGAR 09/21/2026 - 05:09 PM Accepted by SEC EDGAR 09/21/2026 - 05:09 PM Learn about SEC filing dates

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

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Barker Thorold

(Last) (First) (Middle)

399 PARK AVE

(Street)

NEW YORK NEW YORK 10022

(City) (State) (Zip)

UNITED STATES

(Country)

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
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/17/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

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
2025 Annual Restricted Stock Units	09/17/2026		A		18.18	A	(1)(2)	1,683.43	D
2026 Annual Restricted Stock Units	09/17/2026		A		16.87	A	(1)(3)	1,561.87	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

Explanation of Responses:

1. Each Restricted Stock Unit (RSU) represents the right to receive one share of Class A Common Stock.

2. 2025 Annual RSUs were issued as dividend equivalents on holder's underlying Annual RSUs issued on July 14, 2025. The dividend equivalent Annual RSUs will vest concurrently with the vesting of the underlying Annual RSUs.

3. 2026 Annual RSUs were issued as dividend equivalents on holder's underlying Annual RSUs issued on July 1, 2026. The dividend equivalent Annual RSUs will vest concurrently with the vesting of the underlying Annual RSUs.

	/s/ Osamu Watanabe as attorney-in-fact for Thorold Barker	09/21/2026
	** 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 Number.
* Form 4: SEC 1474 (03-26)