0001209191-19-048050.txt : 20190903 0001209191-19-048050.hdr.sgml : 20190903 20190903204750 ACCESSION NUMBER: 0001209191-19-048050 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190829 FILED AS OF DATE: 20190903 DATE AS OF CHANGE: 20190903 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: 191073155 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 2019-08-29 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 Class A Common Stock 2019-08-29 4 M 0 17528 16.70 A 43374 D Class A Common Stock 2019-08-29 4 S 0 17528 33.6386 D 25846 D Top Up Options (Right to Buy) 16.70 2019-08-29 4 M 0 2528 0.00 D Class A Common Stock 2528 0 D IPO Options (Right to Buy) 16.70 2019-08-29 4 M 0 15000 0.00 D Class A Common Stock 15000 0 D 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 August 29, 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 Joseph Simon 2019-09-03