0001209191-18-063294.txt : 20181218 0001209191-18-063294.hdr.sgml : 20181218 20181218180130 ACCESSION NUMBER: 0001209191-18-063294 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181214 FILED AS OF DATE: 20181218 DATE AS OF CHANGE: 20181218 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SIMON JOSEPH CENTRAL INDEX KEY: 0001604693 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36418 FILM NUMBER: 181241621 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] 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 doc4.xml FORM 4 SUBMISSION X0306 4 2018-12-14 0 0001596967 Moelis & Co MC 0001604693 SIMON JOSEPH C/O MOELIS & COMPANY 399 PARK AVENUE, 5TH FLOOR NEW YORK NY 10022 0 1 0 0 Chief Financial Officer Class A Common Stock 2018-12-14 4 M 0 2610.69 A 2610.69 D Class A Common Stock 2018-12-14 4 F 0 2610.69 36.49 D 0 D 2014 Incentive RSUs Granted in 2015 2018-12-14 4 M 0 641.4 0.00 D Class A Common Stock 641.4 13908.22 D 2014 Incentive Restricted Stock Units 2018-12-14 4 M 0 435.4 0.00 D Class A Common Stock 435.4 9430.75 D 2015 Incentive RSUs 2018-12-14 4 M 0 757.77 0.00 D Class A Common Stock 757.77 16451.79 D 2017 Incentive RSUs 2018-12-14 4 M 0 776.12 0.00 D Class A Common Stock 776.12 16846.62 D Shares of Class A common Stock were acquired in order to settle the tax obligation due as a result of the Retirement Eligibility policy of the Company. The RSUs were settled for Class A common stock on December 18, 2018 in order to satisfy tax obligations. /s/ Osamu Watanabe as attorney-in-fact for Joseph Simon 2018-12-18