Welcome to our dedicated page for Moelis & Co SEC filings (Ticker: MC), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Moelis & Company filings document financial results, governance matters and capital-structure disclosures for a NYSE-listed independent investment bank. Form 8-K reports include earnings releases, Regulation FD presentation updates, board appointments and related material-event disclosures tied to the firm’s advisory business.
Proxy materials cover annual meeting matters, director elections, board committee structure, independence determinations and director compensation. The filings also identify the company’s Class A common stock registered under Section 12(b) and traded on the New York Stock Exchange under the symbol MC.
Moelis & Company (NYSE: MC) filed a Form 8-K on July 1, 2025 announcing the election of Thorold Barker as an independent director, effective the same day. The Board confirmed that Barker meets both NYSE independence standards and SEC Rule 10A-3 criteria and immediately appointed him to all Board committees.
Under the firm’s standard non-employee director program, Barker will receive total annual compensation of $200,000, split between (i) $100,000 in cash and/or Class A shares at his discretion and (ii) $100,000 in fully vested Restricted Stock Units that will settle two years after grant (initial grant settles no later than 60 days after July 1, 2026). He will also be reimbursed for reasonable meeting expenses and has executed the company’s customary indemnification agreement.
The company furnished a press release as Exhibit 99.1 under Item 7.01 but disclosed no financial results, strategic transactions, or other material events.
Director Laila Worrell of Moelis & Co (MC) received multiple Restricted Stock Unit (RSU) grants as dividend equivalents on June 20, 2025. The transactions include:
- 2023 Annual RSUs: Acquired 28.86 units, bringing total holdings to 2,540.35 units
- 2024 Annual RSUs: Acquired 22.89 units, total holdings now 2,014.62 units
- 2024 Elective RSUs: Acquired 3.14 units, total holdings reached 276.52 units
All RSUs represent the right to receive one share of Class A Common Stock. These grants were issued as dividend equivalents on previously awarded RSUs from July 2023 and July 2024. The dividend equivalent RSUs will vest simultaneously with their underlying RSU awards. All securities are held directly by the reporting person.
Director Kenneth Shropshire of Moelis & Co (MC) received multiple restricted stock unit (RSU) grants as dividend equivalents on June 20, 2025. The transactions include:
- 2,661.12 units of 2023 Annual RSUs, issued as dividend equivalents on RSUs originally granted July 3, 2023
- 2,110.26 units of 2024 Annual RSUs, issued as dividend equivalents on RSUs originally granted July 1, 2024
- 62.37 units of 2024 Elective RSUs, issued as dividend equivalents on RSUs originally granted July 1, 2024
Each RSU represents the right to receive one share of Class A Common Stock. All dividend equivalent RSUs will vest concurrently with their underlying RSU grants. These transactions represent standard dividend equivalent distributions rather than new equity compensation awards, maintaining the director's alignment with shareholder interests.
Christopher Callesano, Chief Financial Officer of Moelis & Co (NYSE: MC), received multiple dividend equivalent Restricted Stock Units (RSUs) on June 20, 2025. The transactions include:
- 4.95 units of 2020 Incentive RSUs
- 8.57 units of 2021 Incentive RSUs
- 20.25 units of 2022 Incentive RSUs
- 18.55 units of 2023 Incentive RSUs
- 18.5 units of 2024 Incentive RSUs
These RSUs represent dividend equivalents on previously unvested RSUs granted between 2021-2025. Each RSU provides the right to receive either one share of Class A common stock or cash equivalent upon settlement, at the company's discretion. The dividend equivalent RSUs will vest concurrently with their underlying unvested RSUs. The transaction was executed under regular conditions, not subject to Rule 10b5-1 trading arrangements.
Nick Riehl, Principal Accounting Officer of Moelis & Co (MC), received multiple Restricted Stock Unit (RSU) grants as dividend equivalents on June 20, 2025. The transactions include:
- 11.03 units of 2023 Long Term Incentive RSUs tied to unvested RSUs from February 15, 2024
- 2.78 units of 2024 Incentive RSUs connected to unvested RSUs from February 13, 2025
- 3.69 units of 2024 Long Term Incentive RSUs linked to unvested RSUs from February 13, 2025
All RSUs represent rights 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. The transaction was executed under direct ownership with a $0 conversion price.
Eric Cantor, Vice Chairman and Director of Moelis & Co (MC), received multiple Restricted Stock Unit (RSU) grants as dividend equivalents on June 20, 2025. The transactions include:
- 82.53 units from 2020 Incentive RSUs
- 155.63 units from 2021 Incentive RSUs
- 292.79 units from 2022 Incentive RSUs
- 300.32 units from 2023 Incentive RSUs
- 177.74 units from 2024 Incentive RSUs
- 74.05 units from 2024 Long Term Incentive RSUs
These RSUs represent the right to receive either Class A common stock or cash equivalent at the company's discretion. All dividend equivalent RSUs will vest concurrently with their underlying unvested RSUs from their respective grant years. The total beneficial ownership following these transactions amounts to approximately 95,343 RSUs across various grant years.
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.
Louise Mirrer, Director at Moelis & Co (MC), received restricted stock units (RSUs) through two dividend equivalent transactions on June 20, 2025:
- Acquired 14.12 RSUs as dividend equivalents on Annual RSUs originally issued September 24, 2024
- Acquired 0.44 RSUs as dividend equivalents on Annual RSUs originally issued May 1, 2025
Following these transactions, Mirrer directly owns 1,242.91 RSUs from the first grant and 38.44 RSUs from the second grant. Each RSU represents the right to receive one share of Class A Common Stock. The dividend equivalent RSUs will vest concurrently with their underlying Annual RSUs. The transactions were reported via Form 4 filed by attorney-in-fact Osamu Watanabe.
Osamu Watanabe, General Counsel and Secretary of Moelis & Co (MC), reported receiving multiple tranches of dividend equivalent Restricted Stock Units (RSUs) on June 20, 2025. The transactions involve:
- 24.81 RSUs from 2020 Incentive plan
- 46.80 RSUs from 2021 Incentive plan
- 66.93 RSUs from 2022 Incentive plan
- 70.66 RSUs from 2023 Incentive plan
- 73.32 RSUs from 2024 Incentive plan
These RSUs were issued as dividend equivalents on previously unvested RSUs granted between 2021-2025. Each RSU represents the right to receive either one share of Class A common stock or cash equivalent upon settlement, at the company's discretion. The dividend equivalent RSUs will vest concurrently with their underlying unvested RSUs. All holdings are directly owned.