Moelis COO's Stock Awards Signal Confidence in Investment Bank's Future

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Form Type

Rhea-AI Filing Summary

Katherine Pilcher Ciafone, Chief Operating Officer of Moelis & Co (MC), received multiple Restricted Stock Unit (RSU) grants as dividend equivalents on June 20, 2025. The transactions include:

16.51 units of 2020 Incentive RSUs, bringing total holdings to 1,453.53 units
31.36 units of 2021 Incentive RSUs, bringing total holdings to 2,760.93 units
66.93 units of 2022 Incentive RSUs, bringing total holdings to 5,892.16 units

All RSUs represent the right to receive either Class A common stock or cash equivalent upon settlement, at the company's discretion. These dividend equivalent RSUs will vest concurrently with their respective underlying unvested RSUs, which were originally granted between February 2021 and February 2023. All holdings are held directly by the reporting person.

Insider Trade Summary

3 transactions reported

Mixed 3 txns

Insider Pilcher Ciafone Katherine

Role Chief Operating Officer

Type	Security	Shares	Price	Value
Grant/Award	2020 Incentive RSUs	16.51	$0.00	$0.00
Grant/Award	2021 Incentive RSUs	31.36	$0.00	$0.00
Grant/Award	2022 Incentive RSUs	66.93	$0.00	$0.00

Holdings After Transaction: 2020 Incentive RSUs — 1,453.53 shares (Direct); 2021 Incentive RSUs — 2,760.93 shares (Direct); 2022 Incentive RSUs — 5,892.16 shares (Direct)

Footnotes (4)

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.
F2. Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on February 19, 2021 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs.
F3. 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.
F4. 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.

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Form 4 Insider Transactions: What Each Field Means →

Accepted by SEC EDGAR 06/24/2025 - 05:14 PM

FAQ

What insider transaction occurred at Moelis & Company (MC) on June 20, 2025?

On June 20, 2025, Katherine Pilcher Ciafone, Chief Operating Officer of Moelis & Company, received dividend equivalent Restricted Stock Units (RSUs) across three different incentive programs: 16.51 units from 2020 Incentive RSUs, 31.36 units from 2021 Incentive RSUs, and 66.93 units from 2022 Incentive RSUs.

How many MC RSUs does Katherine Pilcher Ciafone now own after the June 2025 transaction?

Following the reported transactions, Katherine Pilcher Ciafone owns 1,453.53 units of 2020 Incentive RSUs, 2,760.93 units of 2021 Incentive RSUs, and 5,892.16 units of 2022 Incentive RSUs, all held directly.

What are the vesting terms for MC's RSUs granted to Katherine Pilcher Ciafone?

The dividend equivalent RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. The underlying RSUs were originally issued on February 19, 2021 (2020 program), February 17, 2022 (2021 program), and February 16, 2023 (2022 program).

What is the settlement structure for Moelis & Company (MC)'s RSUs?

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

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

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)

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

3. Date of Earliest Transaction (Month/Day/Year)
06/20/2025

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)

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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
2020 Incentive RSUs	$0⁽¹⁾	06/20/2025		A		16.51		⁽²⁾	⁽²⁾	Class A Common Stock	16.51	$0	1,453.53	D
2021 Incentive RSUs	$0⁽¹⁾	06/20/2025		A		31.36		⁽³⁾	⁽³⁾	Class A Common Stock	31.36	$0	2,760.93	D
2022 Incentive RSUs	$0⁽¹⁾	06/20/2025		A		66.93		⁽⁴⁾	⁽⁴⁾	Class A Common Stock	66.93	$0	5,892.16	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 19, 2021 (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 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.

4. 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	06/24/2025
	** 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