0001209191-20-012820.txt : 20200225 0001209191-20-012820.hdr.sgml : 20200225 20200225211020 ACCESSION NUMBER: 0001209191-20-012820 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191216 FILED AS OF DATE: 20200225 DATE AS OF CHANGE: 20200225 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SIMON JOSEPH CENTRAL INDEX KEY: 0001604693 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36418 FILM NUMBER: 20653160 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 2019-12-16 0 0001596967 Moelis & Co MC 0001604693 SIMON JOSEPH C/O MOELIS & COMPANY 399 PARK AVENUE, 5TH FLOOR NEW YORK NY 10022 0 1 0 0 Chief Financial Officer Class A Common Stock 2019-12-16 4 M 0 848.79 A 15848.79 D Class A Common Stock 2019-12-16 4 F 0 848.79 31.58 D 15000 D Class A Common Stock 2020-02-21 4 M 0 25213.38 A 40213.38 D Class A Common Stock 2020-02-21 4 F 0 11757.38 36.72 D 28456 D 2018 Incentive RSUs 0.00 2019-12-16 4 M 0 848.79 0.00 D Class A Common Stock 848.79 18407.08 D 2014 Incentive RSUs Granted in 2015 0.00 2020-02-21 4 M 0 7937.44 0.00 D Class A Common Stock 7937.44 0 D 2015 Incentive RSUs 0.00 2020-02-21 4 M 0 6258.46 0.00 D Class A Common Stock 6258.46 6258.46 D 2016 Incentive RSUs 0.00 2020-02-21 4 M 0 4170.1 0.00 D Class A Common Stock 4170.1 8340.19 D 2017 Incentive RSUs 0.00 2020-02-21 4 M 0 3844.99 0.00 D Class A Common Stock 3844.99 11536.17 D 2018 Incentive RSUs 0.00 2020-02-21 4 M 0 3002.39 0.00 D Class A Common Stock 3002.39 15404.69 D Shares of Class A common Stock were acquired in order to settle the tax obligation due as a result of the Retirement Eligibility policy of the Company. Shares of Class A Common Stock were acquired upon settlement of Restricted Stock Units (RSUs). The RSUs were settled for Class A common stock on December 16, 2019 in order to satisfy tax obligations. The RSUs were settled for Class A common stock on February 21, 2020. The acquisition of shares of Class A common Stock, acquired on December 16, 2019, in order to settle the tax obligation due as a result of the Retirement Eligibility policy of the Company, was inadvertently omitted from the Form 4 filing made on December 17, 2019. /s/ Osamu Watanabe as attorney-in-fact for Joseph Simon 2020-02-25