Moelis COO granted new 2021 and 2022 incentive RSUs

Moelis & Co’s chief operating officer received small dividend-equivalent RSU grants linked to earlier equity awards, increasing her outstanding incentive RSU position.

Rhea-AI Filing Summary

Moelis & Co (symbol: MC) is the issuer of record for a Form 4 filing submitted to the SEC. Pilcher Ciafone Katherine reported acquisition or exercise transactions in this Form 4 filing.

Moelis & Co (MC) reported that Chief Operating Officer Katherine Pilcher Ciafone received additional Incentive Restricted Stock Units (RSUs) tied to prior equity awards. On September 17, 2026 she was granted 15.68 2021 Incentive RSUs and 44.61 2022 Incentive RSUs as dividend equivalents, each representing underlying Class A common stock or cash equal to its fair market value upon settlement.

These dividend-equivalent RSUs were issued on unvested RSUs granted in February 2022 and February 2023 and will vest concurrently with those underlying awards. Following these grants, her reported direct holdings in these Incentive RSU awards increased to 1,451.54 (2021) and 4,130.35 (2022) units, and no Rule 10b5-1 trading plan is reported.

Insider Trade Summary

Grant/Award: 60.29 shares

Grant/Award 2 txns

Insider Pilcher Ciafone Katherine

Role Chief Operating Officer

Type	Security	Shares	Price	Value
Grant/Award	2021 Incentive RSUs F1, F2	15.68	$0.00	$0.00
Grant/Award	2022 Incentive RSUs F1, F3	44.61	$0.00	$0.00

Holdings After Transaction: 2021 Incentive RSUs — 1,451.54 contracts (Direct); 2022 Incentive RSUs — 4,130.35 contracts (Direct)

Footnotes (3)

1. F1. Each Restricted Stock Unit (RSU) represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.
2. F2. Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 17, 2022 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.
3. F3. Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 16, 2023 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

Key Figures

2021 Incentive RSUs granted: 15.68 RSUs 2022 Incentive RSUs granted: 44.61 RSUs 2021 Incentive RSUs after transaction: 1,451.54 RSUs +2 more

5 metrics

2021 Incentive RSUs granted 15.68 RSUs Grant on September 17, 2026 as dividend-equivalent Incentive RSUs

2022 Incentive RSUs granted 44.61 RSUs Grant on September 17, 2026 as dividend-equivalent Incentive RSUs

2021 Incentive RSUs after transaction 1,451.54 RSUs Total direct holdings of 2021 Incentive RSUs following the grant

2022 Incentive RSUs after transaction 4,130.35 RSUs Total direct holdings of 2022 Incentive RSUs following the grant

RSU settlement value basis Fair market value per share Each RSU pays stock or cash equal to the fair market value of one Class A share upon settlement

Key Terms

Restricted Stock Unit (RSU), dividend equivalents, fair market value, Incentive RSUs

4 terms

Restricted Stock Unit (RSU) financial

"Each Restricted Stock Unit (RSU) represents the right to receive upon settlement"

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

"Incentive RSUs were issued as dividend equivalents on holder's unvested"

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.

fair market value financial

"cash equal to the fair market value of such share"

The price a willing buyer and a willing seller would agree on for an asset or security when neither is under pressure and both have access to the same information. Think of it as the market’s neutral estimate of what something is worth, like the price two neighbors would settle on for a car after comparing similar listings. Investors care because fair market value guides buying and selling decisions, tax reporting, portfolio valuation, and how accurately company assets are reflected in financial statements.

Incentive RSUs financial

"Incentive RSUs were issued as dividend equivalents on holder's unvested"

FAQ

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

What insider transaction did Moelis & Co (MC) disclose for Katherine Pilcher Ciafone?

Moelis & Co disclosed that Chief Operating Officer Katherine Pilcher Ciafone received two grants of Incentive RSUs on September 17, 2026 as dividend equivalents on previously granted, unvested RSUs from 2022 and 2023, increasing her outstanding incentive equity awards.

How many RSUs did the Moelis & Co (MC) COO receive in this Form 4 filing?

On September 17, 2026 she was granted 15.68 2021 Incentive RSUs and 44.61 2022 Incentive RSUs, each representing the right to receive either a share of Class A common stock or cash equal to its fair market value upon settlement.

What are the vesting terms of the new RSUs reported by Moelis & Co (MC)?

The new Incentive RSUs are dividend equivalents on unvested RSUs granted in February 2022 and February 2023. They will vest concurrently with the vesting of those underlying unvested Incentive RSUs, according to the footnotes.

What are the COO’s total Incentive RSU holdings after these Moelis & Co (MC) transactions?

After the grants, the filing reports the COO holds 1,451.54 2021 Incentive RSUs and 4,130.35 2022 Incentive RSUs directly. These positions reflect accumulated awards including the new dividend-equivalent RSUs.

Were the Moelis & Co (MC) RSU transactions under a Rule 10b5-1 trading plan?

No. The filing’s Rule 10b5-1 checkbox is not marked as affirming a trading plan, and there is no footnote indicating that these RSU grants were made pursuant to a Rule 10b5-1 or other pre-arranged trading arrangement.

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

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Available on EDGAR 09/21/2026 - 05:08 PM Accepted by SEC EDGAR 09/21/2026 - 05:07 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^*

Pilcher Ciafone Katherine

(Last) (First) (Middle)

C/O MOELIS & COMPANY

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)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Operating Officer

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

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
2021 Incentive RSUs	$0(1)	09/17/2026		A		15.68		(2)	(2)	Class A Common Stock	15.68	$0	1,451.54	D
2022 Incentive RSUs	$0(1)	09/17/2026		A		44.61		(3)	(3)	Class A Common Stock	44.61	$0	4,130.35	D

Explanation of Responses:

1. Each Restricted Stock Unit (RSU) represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share.

2. Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 17, 2022 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

3. Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 16, 2023 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.

	/s/ Osamu Watanabe as attorney-in-fact for Katherine Pilcher Ciafone	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)