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