0000950170-24-019624.txt : 20240223 0000950170-24-019624.hdr.sgml : 20240223 20240223200435 ACCESSION NUMBER: 0000950170-24-019624 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240221 FILED AS OF DATE: 20240223 DATE AS OF CHANGE: 20240223 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SIMON JOSEPH CENTRAL INDEX KEY: 0001604693 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36418 FILM NUMBER: 24673259 MAIL ADDRESS: STREET 1: C/O MOELIS & COMPANY STREET 2: 399 PARK AVENUE, 5TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Moelis & Co CENTRAL INDEX KEY: 0001596967 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] ORGANIZATION NAME: 02 Finance IRS NUMBER: 464500216 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 399 PARK AVENUE, 5TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (212) 883-3800 MAIL ADDRESS: STREET 1: 399 PARK AVENUE, 5TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 4 1 ownership.xml 4 X0508 4 2024-02-21 0001596967 Moelis & Co MC 0001604693 SIMON JOSEPH 399 PARK AVE NEW YORK NY 10022 false true false false Chief Financial Officer false Class A Common Stock 2024-02-21 4 M false 16723.54 A 16723.54 D Class A Common Stock 2024-02-21 4 F false 1.54 52.60 D 16722 D Class A Common Stock 2024-02-21 4 S false 8149.00 52.60 D 8573 D 2018 Incentive Restricted Stock Units 2024-02-21 4 M false 5341.54 0 D Class A Common Stock 5341.54 0 D 2019 Incentive Restricted Stock Units 2024-02-21 4 M false 7187.38 0 D Class A Common Stock 7187.38 7187.38 D 2020 Incentive Restricted Stock Units 2024-02-21 4 M false 4194.61 0 D Class A Common Stock 4194.61 8389.23 D 2022 Vested LP Units of MCGEH 2024-02-21 4 A false 19312.00 0 A Class A Common Stock 19312.00 19312.00 D Shares of Class A Common Stock were acquired upon settlement of Restricted Stock Units (RSUs). Class A Common Stock sold by Mr. Simon in order to raise proceeds to satisfy tax obligations triggered by delivery of the Class A Common Stock upon settlement of the RSUs. The RSUs were settled for Class A common stock on February 21, 2024. Limited partnership units of Moelis & Company Group Employee Holdings LP ("MCGEH") may be redeemed by the holder for shares of Class A Common Stock on a one-for-one basis pursuant to the terms of the Second Amended and Restated Limited Partnership Agreement of MCGEH. Reflects a profits interest award in the form of LP Units granted to the Reporting Person on February 16, 2023 in connection with compensation awarded for the 2022 fiscal year (the "2022 Vested LP Units"). The 2022 Vested LP Units vest at grant and may be redeemed as follows: (a) 40% on February 23, 2025, and (b) and 20% on each of February 23, 2026, February 23, 2027 and February 23, 2028. These 2022 Vested LP units may be redeemded by the holder for shares of Class A Common Stock on a one-for-one basis beginning on the third anniversary of the grant date (February 2026) and a sufficient amount of profits have been allocated to the holder of the LP Units (the "Book-Up"). On February 21, 2024, the Issuers Compensation Committee certified the achievement of the Book-Up. In addition, the 2022 Vested LP Units are subject to sale and non-compete restrictions through the fifth anniversary of the grant date. The redemption rights described herein do not expire. /s/ Osamu Watanabe as attorney-in-fact for Joseph Simon 2024-02-23