0001209191-20-028678.txt : 20200512 0001209191-20-028678.hdr.sgml : 20200512 20200512201702 ACCESSION NUMBER: 0001209191-20-028678 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200508 FILED AS OF DATE: 20200512 DATE AS OF CHANGE: 20200512 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RAICH JEFFREY CENTRAL INDEX KEY: 0001604691 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36418 FILM NUMBER: 20870738 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 2020-05-08 0 0001596967 Moelis & Co MC 0001604691 RAICH JEFFREY C/O MOELIS & COMPANY 399 PARK AVENUE, 5TH FLOOR NEW YORK NY 10022 1 1 0 0 Co-President, MD Class A Common Stock 2020-05-08 4 S 0 1500 30.76 D 47046 D Class A Common Stock 2020-05-11 4 S 0 20000 31.03 D 27046 D Class A Common Stock 2020-05-12 4 S 0 13400 30.82 D 13646 D This number excludes (i) 257,497 unvested RSUs granted to Mr. Raich as incentive compensation for fiscal years 2015 through 2019 and (ii) 633,464 shares of Class A Common Stock issuable in exchange for Moelis & Group LP Class A partnership units held by certain trusts, of which Mr. Raich or his 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. /s/ Osamu Watanabe as attorney-in-fact for Jeffrey Raich 2020-05-12