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