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  4. [Form 4] Moelis & Co Insider Trading Activity

MC insider Kenneth Moelis adds 73 Class A shares

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Moelis & Company (MC) insider transaction: Executive Chairman and Director Kenneth Moelis reported an automatic conversion on 10/30/2025, resulting in the acquisition of 73 shares of Class A common stock (code M).

Following this transaction, he beneficially owns 209,310 shares of Class A common stock. The filing also shows 4,191,326 derivative securities (Class B common stock) beneficially owned after the reported transaction. Footnotes indicate the conversion occurred pursuant to the company’s charter when certain Group Units were exchanged by selling stockholders.

Positive

  • None.

Negative

  • None.
Insider MOELIS KENNETH
Role Executive Chairman
Type Security Shares Price Value
Exercise Class B Common Stock, par value $0.01 133,092 $0.00 --
Exercise Class A Common Stock 73 $0.00 --
Holdings After Transaction: Class B Common Stock, par value $0.01 — 4,191,326 shares (Direct); Class A Common Stock — 209,310 shares (Direct)
Footnotes (1)
  1. The conversion covered by this footnote automatically occurred pursuant to the terms of the Company's Amended and Restated Certificate of Incorporation when certain Group Units were exchanged for Class A common stock by certain selling Stockholders. Mr. Moelis' ownership of 209,310 shares of Class A common stock is in addition to (i) 683,657 units of unvested or restricted equity granted to Mr. Moelis as incentive compensation for fiscal years 2020 through 2024, (ii) 318,796 units of unvested equity granted to Mr. Moelis in February, 2025 pursuant to a retention award, (iii) 96,531 units of equity that are subject to vesting and performance provisions granted to Mr. Moelis as incentive compensation for fiscal year 2022, (iv) 3,976,314 shares of Class A common stock issuable in exchange for Group Units held by The Moelis Family Trust. Each share of Class B common stock is convertible into approximately 0.00055 shares of Class A common stock in certain circumstances, including when and if certain holders of Group Units elect to exchange such units for Class A common stock. Such conversions of Class B common stock may often result in conversion into less than 1 share of Class A common stock and in such case in lieu of such fractional share, the Company will pay the holder (Partner Holdings) cash equal to the Value (as defined in the Company's Amended and Restated Certificate of Incorporation) of the fractional share of Class A common stock.
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Form 4 Insider Transactions: What Each Field Means →
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*
MOELIS KENNETH
(Last) (First) (Middle)
399 PARK AVE
(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)
Executive Chairman
3. Date of Earliest Transaction (Month/Day/Year)
10/30/2025
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 10/30/2025 M(1) 73 A (1) 209,310(2) 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
Class B Common Stock, par value $0.01(1)(3) (3) 10/30/2025 M(3) 133,092 (3) (3) Class A Common Stock, par value $0.01 73 (1) 4,191,326 D
Explanation of Responses:
1. The conversion covered by this footnote automatically occurred pursuant to the terms of the Company's Amended and Restated Certificate of Incorporation when certain Group Units were exchanged for Class A common stock by certain selling Stockholders.
2. Mr. Moelis' ownership of 209,310 shares of Class A common stock is in addition to (i) 683,657 units of unvested or restricted equity granted to Mr. Moelis as incentive compensation for fiscal years 2020 through 2024, (ii) 318,796 units of unvested equity granted to Mr. Moelis in February, 2025 pursuant to a retention award, (iii) 96,531 units of equity that are subject to vesting and performance provisions granted to Mr. Moelis as incentive compensation for fiscal year 2022, (iv) 3,976,314 shares of Class A common stock issuable in exchange for Group Units held by The Moelis Family Trust.
3. Each share of Class B common stock is convertible into approximately 0.00055 shares of Class A common stock in certain circumstances, including when and if certain holders of Group Units elect to exchange such units for Class A common stock. Such conversions of Class B common stock may often result in conversion into less than 1 share of Class A common stock and in such case in lieu of such fractional share, the Company will pay the holder (Partner Holdings) cash equal to the Value (as defined in the Company's Amended and Restated Certificate of Incorporation) of the fractional share of Class A common stock.
/s/ Osamu Watanabe as attorney-in-fact for Kenneth Moelis 11/03/2025
** 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.

Source: View Original Filing on SEC EDGAR

FAQ

What did MC’s Executive Chairman report in this Form 4?

Kenneth Moelis reported an automatic conversion on 10/30/2025 that resulted in acquiring 73 Class A shares (transaction code M).

How many Moelis & Co (MC) Class A shares does Kenneth Moelis now own?

He beneficially owns 209,310 Class A shares following the transaction.

What derivative securities are listed after the transaction for MC?

The filing lists 4,191,326 derivative securities beneficially owned (Class B common stock).

What triggered the conversion into Class A shares?

Per footnotes, conversion occurred under the company’s charter when certain Group Units were exchanged by selling stockholders.

What is the role of the reporting person at Moelis & Co (MC)?

Kenneth Moelis is Executive Chairman and a Director.

What does transaction code M mean on Form 4?

Code M indicates an exercise or conversion of a derivative security into underlying equity.