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