0001209191-19-055387.txt : 20191105
0001209191-19-055387.hdr.sgml : 20191105
20191105210049
ACCESSION NUMBER: 0001209191-19-055387
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20191104
FILED AS OF DATE: 20191105
DATE AS OF CHANGE: 20191105
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WATANABE OSAMU R.
CENTRAL INDEX KEY: 0001604471
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36418
FILM NUMBER: 191194864
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
2019-11-04
0
0001596967
Moelis & Co
MC
0001604471
WATANABE OSAMU R.
C/O MOELIS & COMPANY
399 PARK AVENUE, 5TH FLOOR
NEW YORK
NY
10022
0
1
0
0
General Counsel, Secretary
Class A Common Stock
2019-11-04
4
M
0
15776
16.70
A
32876
D
Class A Common Stock
2019-11-04
4
S
0
15776
35.33
D
17100
D
Top Up Options (Right to Buy)
16.70
2019-11-04
4
M
0
5776
0.00
D
Class A Common Stock
5776
0
D
IPO Options (Right to Buy)
16.70
2019-11-04
4
M
0
10000
0.00
D
Class A Common Stock
10000
10000
D
Grant of Stock Options pursuant to the Moelis & Company 2014 Omnibus Incentive 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 in full on April 22, 2019. The IPO Options expire on April 22, 2020.
/s/ Osamu Watanabe
2019-11-05