0001209191-20-012323.txt : 20200225
0001209191-20-012323.hdr.sgml : 20200225
20200225064233
ACCESSION NUMBER: 0001209191-20-012323
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200220
FILED AS OF DATE: 20200225
DATE AS OF CHANGE: 20200225
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: 20647204
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
2020-02-20
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
2020-02-20
4
M
0
29469.25
A
37136.25
D
Class A Common Stock
2020-02-20
4
F
0
327.25
36.72
D
36809
D
Class A Common Stock
2020-02-20
4
S
0
14734
36.72
D
22075
D
2014 Incentive RSUs Granted in 2015
2020-02-20
4
M
0
9004.65
0.00
D
Class A Common Stock
9004.65
0
D
2015 Incentive Restricted Stock Units
2020-02-20
4
M
0
6817.35
0.00
D
Class A Common Stock
6817.35
6817.34
D
2016 Incentive Restricted Stock Units
2020-02-20
4
M
0
4708.71
0.00
D
Class A Common Stock
4708.71
9417.41
D
2017 Incentive Restricted Stock Units
2020-02-20
4
M
0
4550.6
0.00
D
Class A Common Stock
4550.6
13651.81
D
2018 Incentive Restricted Stock Units
2020-02-20
4
M
0
4387.94
0.00
D
Class A Common Stock
4387.94
17552.85
D
Shares of Class A Common Stock of Moelis & Company ("Class A Common Stock") were acquired upon settlement of Restricted Stock Units (RSUs).
Class A Common Stock sold by Ms. Crain in order to raise proceeds to satisfy tax obligations triggered by delivery of the Class A Common Stock upon settlement of the RSUs. Federal taxes are not withheld from Class A Common Stock delivered to Ms. Crain upon settlement of RSUs because she is a partner in Moelis & Company Partner Holdings LP.
This number excludes (i) 83,813 unvested RSUs granted to Ms. Crain as incentive compensation for fiscal years 2015 through 2019 and (ii) 86,557 shares of Class A Common Stock issuable in exchange for Moelis & Group LP Class A partnership units held by certain trusts, of which Ms. Crain or her immediate family members are beneficiaries. The unvested RSUs represent the right to receive upon settlement either, at Moelis & Company's option, a share of Class A Common Stock or an amount in cash equal to the fair market value of such share. The vesting schedule applicable to these unvested RSUs can be found on the Form 4s previously filed in connection with the grant of such RSUs.
The RSUs were settled for Class A Common Stock on February 20, 2020.
/s/ Osamu Watanabe as attorney-in-fact for Elizabeth Crain
2020-02-24