0001209191-19-034858.txt : 20190605 0001209191-19-034858.hdr.sgml : 20190605 20190605174756 ACCESSION NUMBER: 0001209191-19-034858 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190603 FILED AS OF DATE: 20190605 DATE AS OF CHANGE: 20190605 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CRAIN ELIZABETH CENTRAL INDEX KEY: 0001604659 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36418 FILM NUMBER: 19880868 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 2019-06-03 0 0001596967 Moelis & Co MC 0001604659 CRAIN ELIZABETH C/O MOELIS & COMPANY 399 PARK AVENUE, 5TH FLOOR NEW YORK NY 10022 1 1 0 0 Chief Operating Officer Class A Common Stock 2019-06-03 4 M 0 21669 16.70 A 38638 D Class A Common Stock 2019-06-03 4 S 0 12000 31.9835 D 26638 D Class A Common Stock 2019-06-03 4 S 0 9669 32.259 D 16969 D Class A Common Stock 2019-06-03 4 S 0 9302 32.1896 D 7667 D Class A Common Stock 2019-06-03 4 S 0 698 32.1896 D 0 I By Trust Top Up Options (Right to Buy) 16.70 2019-06-03 4 M 0 6669 0.00 D Class A Common Stock 6669 0 D IPO Options (Right to Buy) 16.70 2019-06-03 4 M 0 15000 0.00 D Class A Common Stock 15000 0 D Represents transactions by Trust U/Article Second (B) of the Elizabeth A. Crain GRAT U/A 9-3--2010. Ms. Crain may have indirect voting power and dispositive power over the assets of the trust as a result of her relationship to the trustee. Grant of stock options pursuant to the Moelis & Company 2014 Omnibus Plan. The Top Up and IPO Options were originally issued at $25.00. Moelis & Company (the "Company") paid special dividends of $8.30, in aggregate, through June 3, 2019. As required under Section 5 of the Company's 2014 Omnibus Incentive Plan, the Compensation Committee of the Company's Board of Directors equitably reduced the exercise price of the Company's outstanding options to purchase common stock by $8.30 from $25.00 per share to $16.70 per share. Such options are held by certain current and former employees of the Company, including officers and directors. The Top Up Options vested 25% on April 22, 2017, 25% on April 22, 2018 and 50% on April 22, 2019. The Top Up Options expire on April 22, 2020. The IPO Options vested 100% on April 22, 2019. The IPO Options expire on April 22, 2020. /s/ Osamu Watanabe as attorney-in-fact for Elizabeth Crain 2019-06-05