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