What SEC filings does Moelis & Company submit to the SEC?

Moelis & Company (MC) submits several types of SEC filings including Form 4 (insider transactions), Form 144 (proposed insider sales), 8-K reports (material events such as earnings releases, acquisitions, leadership changes), and periodic reports — the 10-Q (quarterly) and 10-K (annual). All filings are publicly available through SEC EDGAR.

What does a Form 4 filing tell me about MC?

A Form 4 for MC discloses a transaction by a company insider — typically a director, officer, or 10%+ shareholder. It shows the source-reported date, number of shares, price, and updated ownership. These facts do not establish motive or predict future returns.

How do I interpret an 8-K filing from Moelis & Company?

An 8-K signals a material event requiring prompt disclosure. Common triggers include earnings pre-announcements, acquisitions, leadership appointments or departures, credit changes, or regulatory actions. Read the item codes inside the filing to understand exactly what was disclosed before drawing conclusions.

What is the difference between a 10-K and 10-Q for MC?

The 10-K is Moelis & Company's annual report with fully audited financial statements, comprehensive MD&A, and complete risk factor disclosures — filed 60–90 days after fiscal year-end. The 10-Q is a lighter quarterly report with unaudited financials filed for the first three quarters. Together they provide a continuous financial picture of the company.

Where can I see all MC SEC filings directly on EDGAR?

You can view all historical Moelis & Company filings on the SEC EDGAR company page for MC. Each filing card on this page links directly to the original SEC document.

How often does Moelis & Company file with the SEC?

Moelis & Company files one 10-K per year and up to three 10-Qs per year. Form 4 insider transactions must be reported within two business days of each trade, so the frequency depends on how often insiders are buying or selling MC shares. 8-K filings occur whenever a material event happens — which can be several times per quarter for an active company.

MC SEC Filing News — Moelis & Company

Latest SEC filings for Moelis & Company (MC) explained in plain English. Covers insider buying and selling (Form 4), proposed insider sales (Form 144), material company events (8-K), and quarterly & annual reports (10-Q / 10-K). StrongBuyAnalytics provides navigation and brief excerpts or summaries; original filings remain at the SEC/source links and were authored by their filers, not StrongBuyAnalytics. Filing dates shown are source dates. Coverage and detection can be delayed or incomplete because of SEC availability, amendments, parsing, caching, or outages. Latest source filing date shown: 2026-09-21.

Moelis & Company operates as an investment banking advisory company in North and South America, Europe, the Middle East, Asia, and Australia. It offers advisory services in the areas of mergers and acquisitions, recapitalizations and restructurings, capital markets transactions, and other corporate finance matters, as well as strategic advisory, capital markets, capital structure advisory, and private capital advisory. The company serves public multinational corporations, middle market private c…

Sector: Financial Services Industry: Capital Markets Market Cap: $3.9B

Total Filings

Bullish Classifications

Bearish Classifications

Insider Transactions

Material Events (8-K)

Periodic Reports

Rule-based classifications for MC currently lean bearish. Of the 12 filing records displayed, 2 carry bearish classifications (such as insider sales or negative 8-K disclosures) versus 0 bullish. This does not necessarily signal fundamental deterioration — insiders sell for many reasons — but it is worth monitoring alongside the company's core financial metrics.

MC Filing Activity Snapshot 2026-08-06 — 2026-09-21

Insider Transactions (Form 4)

0 buys vs 2 sells

Net insider selling in this period — insiders sell for many reasons beyond conviction.

Largest Form 144 Filing

$336.1K

WATANABE OSAMU R. (General Counsel, Secretary) · 2026-08-06

4,850 shares · Form 4

Form 144 Notices

Proposed insider sale filed — Form 144 is a notice of intent, not a confirmed transaction. Actual sales are confirmed via Form 4.

Insider Transactions 11 · Forms 3, 4 and 5

A Form 4 is filed within two business days of a company insider — an officer, a director, or a holder of more than ten percent of the stock — changing their position in the shares. All 11 filings in this group are Form 4s for Moelis & Company.

The difficulty with reading these filings as a group is that a single form type covers transactions that mean entirely different things. An executive spending their own money to buy stock and an executive having shares withheld to pay tax on a vesting grant both appear as a Form 4. Every filing below is therefore tagged with the nature of the underlying transaction, taken from the transaction code reported on the form itself.

Across the 11 insider filings shown, the breakdown is 9 compensation award and 2 open-market sale. 2 of them involved a discretionary open-market trade; the rest are compensation and administrative mechanics.

What each transaction type means

Compensation award ×9: Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.
Open-market sale ×2: The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Form 4 Compensation award Tax / Compensation Filing 2026-09-21

MC insider Form 4 filed for equity award, exercise, or tax withholding

Barker Thorold (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award	18	—	—
`A`	Compensation award	16	—	—

Filing: Form 4 (Insider Transaction) Insider: Barker Thorold (Director) Shares: 34

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-09-21

MC insider Form 4 filed for equity award, exercise, or tax withholding

Mirrer Louise (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award	19	—	—
`A`	Compensation award	17	—	—

Filing: Form 4 (Insider Transaction) Insider: Mirrer Louise (Director) Shares: 36

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-09-21

MC insider Form 4 filed for equity award, exercise, or tax withholding

Worrell Laila (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award	19	—	—
`A`	Compensation award	17	—	—
`A`	Compensation award	19	—	—

Filing: Form 4 (Insider Transaction) Insider: Worrell Laila (Director) Shares: 55

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-09-21

MC insider Form 4 filed for equity award, exercise, or tax withholding

Shropshire Kenneth (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award	20	—	—
`A`	Compensation award	18	—	—
`A`	Compensation award	2	—	—

Filing: Form 4 (Insider Transaction) Insider: Shropshire Kenneth (Director) Shares: 40

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-09-21

MC insider Form 4 filed for equity award, exercise, or tax withholding

Cantor Eric (Director, Vice Chairman, MD) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award derivative · 2021 Incentive RSUs	77	—	—
`A`	Compensation award derivative · 2022 Incentive RSUs	195	—	—
`A`	Compensation award derivative · 2023 Incentive RSUs	225	—	—
`A`	Compensation award derivative · 2024 Incentive RSUs	142	—	—
`A`	Compensation award derivative · 2024 Long Term Incentive RSUs	74	—	—

Filing: Form 4 (Insider Transaction) Insider: Cantor Eric (Director, Vice Chairman, MD)

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-09-21

MC insider Form 4 filed for equity award, exercise, or tax withholding

WATANABE OSAMU R. (General Counsel, Secretary) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award derivative · 2021 Incentive RSUs	23	—	—
`A`	Compensation award derivative · 2022 Incentive RSUs	44	—	—
`A`	Compensation award derivative · 2023 Incentive RSUs	52	—	—
`A`	Compensation award derivative · 2024 Incentive RSUs	58	—	—
`A`	Compensation award derivative · 2025 Incentive RSUs	66	—	—
`A`	Compensation award derivative · 2025 Special Incentive RSUs	15	—	—

Filing: Form 4 (Insider Transaction) Insider: WATANABE OSAMU R. (General Counsel, Secretary)

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-09-21

MC insider Form 4 filed for equity award, exercise, or tax withholding

Riehl Nick (Principal Accounting Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award derivative · 2023 Long Term Incentive RSUs	11	—	—
`A`	Compensation award derivative · 2024 Incentive RSUs	2	—	—
`A`	Compensation award derivative · 2024 Long Term Incentive RSUs	3	—	—
`A`	Compensation award derivative · 2025 Incentive RSUs	10	—	—
`A`	Compensation award derivative · 2025 Special Incentive RSUs	7	—	—

Filing: Form 4 (Insider Transaction) Insider: Riehl Nick (Principal Accounting Officer)

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-09-21

MC insider Form 4 filed for equity award, exercise, or tax withholding

Pilcher Ciafone Katherine (Chief Operating Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award derivative · 2021 Incentive RSUs	15	—	—
`A`	Compensation award derivative · 2022 Incentive RSUs	44	—	—

Filing: Form 4 (Insider Transaction) Insider: Pilcher Ciafone Katherine (Chief Operating Officer)

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-09-21

MC insider Form 4 filed for equity award, exercise, or tax withholding

Callesano Christopher (Chief Financial Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award derivative · 2021 Incentive RSUs	4	—	—
`A`	Compensation award derivative · 2022 Incentive RSUs	13	—	—
`A`	Compensation award derivative · 2023 Incentive RSUs	13	—	—
`A`	Compensation award derivative · 2024 Incentive RSUs	14	—	—

Filing: Form 4 (Insider Transaction) Insider: Callesano Christopher (Chief Financial Officer)

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market sale Insider Selling 2026-08-31

MC insider Shropshire Kenneth (Director) sold 1,881 shares (~$129.9K)

Shropshire Kenneth, listed as Director at Moelis & Co, reported an open-market sale of 1,881 MC shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`S`	Open-market sale	1,881	$69.06	$129.9K

Filing: Form 4 (Insider Transaction) Insider: Shropshire Kenneth (Director) Shares: 1,881 Est. Value: $129.9K

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market sale Insider Selling 2026-08-06

MC insider WATANABE OSAMU R. (General Counsel, Secretary) sold 4,850 shares (~$336.1K)

WATANABE OSAMU R., listed as General Counsel, Secretary at Moelis & Co, reported an open-market sale of 4,850 MC shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`S`	Open-market sale	4,850	$69.30	$336.1K

Filing: Form 4 (Insider Transaction) Insider: WATANABE OSAMU R. (General Counsel, Secretary) Shares: 4,850 Est. Value: $336.1K

View on SEC EDGAR → Open Filing Document →

Proposed Insider Sales 1 · Form 144

A Form 144 is a notice of intent to sell restricted or control securities. It is not a record that anything was sold. Moelis & Company has 1 such notice in this period.

The distinction matters because a Form 144 is frequently reported as though it were a completed insider sale. The filer may sell all of the shares covered, some of them, or none at all, and there is no obligation to update the notice either way. A sale that is actually executed by an officer or director shows up separately on a Form 4, which is the filing to check before treating a proposed sale as a real one.

Form 144 Proposed Insider Sale 2026-08-27

MC Form 144 filed for proposed insider sale by KENNETH SHROPSHIRE (1,881 shares) ~$129.9K

KENNETH SHROPSHIRE filed a Form 144 with the SEC indicating intent to sell MC (Moelis & Co) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4.

Filing: Form 144 (Proposed Sale Notice) Insider: KENNETH SHROPSHIRE Shares: 1,881 Est. Value: $129.9K

View on SEC EDGAR → Open Filing Document →

How we classify Moelis & Company's filings

Straight from EDGAR

Each displayed record links to an original source document. StrongBuyAnalytics provides navigation and brief excerpts or summaries, not the filing itself. Parsing may omit context or contain errors, so read the original document in full.

Transaction codes, not guesswork

The nature shown on each insider filing comes from the transaction code the filer entered on the form itself — P for an open-market purchase, A for a compensation award, F for shares withheld to pay tax, M for an option exercise. Where one filing contains several codes, the transaction table lists them line by line.

Why the distinction matters

Insider activity is routinely summarised as buying or selling, which flattens together decisions that mean very different things. Shares withheld for tax on a vesting grant are an automatic administrative step; shares bought on the open market are someone committing their own money at the current price.

What this page does not tell you

A filing records what happened, not why. Form 4 does not always disclose whether a sale was executed under a pre-arranged Rule 10b5-1 plan, and no single filing is a basis for a decision on MC. Read these alongside the fundamentals rather than in isolation.

Frequently Asked Questions — MC SEC Filings

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MC Full Analysis

Publisher, sources & limitations — September 15, 2026. StrongBuyAnalytics provides navigation and brief excerpts or summaries for educational use. Original filings remain at SEC EDGAR or other displayed source links; StrongBuyAnalytics does not author them. Filing dates are source dates, not publication dates for this page. Coverage can be delayed, incomplete, amended, or unavailable because of SEC/source availability, parsing, caching, or outages. Verify every material statement in the original filing.

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