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