0001209191-19-055386.txt : 20191105 0001209191-19-055386.hdr.sgml : 20191105 20191105210017 ACCESSION NUMBER: 0001209191-19-055386 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191101 FILED AS OF DATE: 20191105 DATE AS OF CHANGE: 20191105 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RAICH JEFFREY CENTRAL INDEX KEY: 0001604691 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36418 FILM NUMBER: 191194862 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 2019-11-01 0 0001596967 Moelis & Co MC 0001604691 RAICH JEFFREY C/O MOELIS & COMPANY 399 PARK AVENUE, 5TH FLOOR NEW YORK NY 10022 1 1 0 0 Co-President, MD Class A Common Stock 2019-11-01 4 M 0 13934 16.70 A 87293 D Class A Common Stock 2019-11-01 4 S 0 13934 34.27 D 73359 D Class A Common Stock 2019-11-01 4 S 0 73359 34.35 D 0 D Top Up Options (Right to Buy) 16.70 2019-11-01 4 M 0 13934 0.00 D Class A Common Stock 13934 0 D Grant of stock options pursuant to the Moelis & Company 2014 Omnibus Plan. The Top Up Options were originally issued at $25.00. Moelis & Company (the "Company) paid special dividends of $8.30, in aggregate, through November 1, 2019. As required under Section 5 of the Company's 2014 Omnibus Incentive Plan, the Compensation Committee of the Company's Board of Directors equitable 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 current and former employees of the Company, including offers 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. /s/ Osamu Watanabe as attorney-in-fact for Jeffrey Raich 2019-11-05