0001209191-19-022841.txt : 20190402 0001209191-19-022841.hdr.sgml : 20190402 20190402203233 ACCESSION NUMBER: 0001209191-19-022841 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190329 FILED AS OF DATE: 20190402 DATE AS OF CHANGE: 20190402 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: 19727243 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 2019-03-29 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 2014 Incentive Restricted Stock Units 0.00 2019-03-29 4 A 0 396.63 0.00 A Class A Common Stock 396.63 9827.38 D 2014 LTI Restricted Stock Units 0.00 2019-03-29 4 A 0 829.65 0.00 A Class A Common Stock 829.65 20556.3 D 2014 Incentive RSUs Granted in 2015 0.00 2019-03-29 4 A 0 584.94 0.00 A Class A Common Stock 584.94 14493.16 D 2015 Incentive RSUs 0.00 2019-03-29 4 A 0 691.91 0.00 A Class A Common Stock 691.91 17143.7 D 2016 Incentive RSUs 0.00 2019-03-29 4 A 0 643.04 0.00 A Class A Common Stock 643.04 15932.34 D 2017 Incentive RSUs 0.00 2019-03-29 4 A 0 708.51 0.00 A Class A Common Stock 708.51 17555.13 D 2018 Incentive RSUs 0.00 2019-03-29 4 A 0 742.3 0.00 A Class A Common Stock 742.3 18392.3 D Each Restricted Stock Unit (RSU) represents the right to receive upon settlement either, at Moelis & Company's option, a share of Class A common stock or an amount of cash equal to the fair market value of such share. Incentive RSUs were issued as dividend equivalents on holder's unvested underlying Incentive RSUs issued on April 15, 2014 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. LTI RSUs were issued as dividend equivalents on the holder's unvested underlying LTI RSUs issued on April 15, 2014 (and dividend equivalents subsequently issued thereon). The dividend equivalent LTI RSUs will vest concurrently with the vesting of the unvested underlying LTI RSUs. Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on March 2, 2015 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on February 24, 2016 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on February 23, 2017 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on February 15, 2018 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. Incentive RSUs were issued as dividend equivalents on the holder's unvested underlying Incentive RSUs issued on February 14, 2019 (and dividend equivalents subsequently issued thereon). The dividend equivalent Incentive RSUs will vest concurrently with the vesting of the unvested underlying Incentive RSUs. /s/ Osamu Watanabe as attorney-in-fact for Joseph Simon 2019-04-02