0001209191-20-056268.txt : 20201029
0001209191-20-056268.hdr.sgml : 20201029
20201029211805
ACCESSION NUMBER: 0001209191-20-056268
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201027
FILED AS OF DATE: 20201029
DATE AS OF CHANGE: 20201029
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MAHMOODZADEGAN NAVID
CENTRAL INDEX KEY: 0001604685
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36418
FILM NUMBER: 201274483
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
2020-10-27
0
0001596967
Moelis & Co
MC
0001604685
MAHMOODZADEGAN NAVID
C/O MOELIS & COMPANY
399 PARK AVENUE, 5TH FLOOR
NEW YORK
NY
10022
1
1
0
0
Co-President, MD
Class A Common Stock
2020-10-27
4
M
0
1089255
A
1089255
I
By Trust
Class A Common Stock
2020-10-27
4
M
0
106583
A
106583
I
By Trust
Class A Common Stock
2020-10-27
4
S
0
1089265
38.55
D
0
I
By Trust
Class A Common Stock
2020-10-27
4
S
0
106583
38.55
D
0
I
By Trust
Partnership Interests
2020-10-27
4
M
0
1089255
D
Class A Common Stock, par value $0.01
1089255
10
I
By Trust
Partnership Interests
2020-10-27
4
M
0
106583
D
Class A Common Stock, par value $0.01
106583
0
I
By Trust
Represents transaction by Mahmoodzadegan-Gappy Trust, of which Mr. Mahmoodzadegan is a beneficiary. Mr. Mahmoodzadegan shares voting and dispositive power over the assets of the trust.
On October 27, 2020 certain of the holder's partnership interests ("Partnership Interests") in Moelis & Company Partner Holdings LP ("Partner Holdings") were exchanged for an equal number of Class A partnership units ("Group Units") in Moelis & Company Group LP ("Group LP") and the Group Units were exchanged for an equal number of shares of Moelis & Company Class A common stock. The exchanges were approved by the Company's board of directors under Rule 16b-3.
Represents transaction by Mahmoodzadegan-Gappy 2010 Irrevocable Trust. Mr. Mahmoodzadegan may have indirect voting power and dispositive power over the assets of the trust as a result of his relationship to the trustee.
Partnership Interests are exchangeable for an equal number of Group Units. Each Group Unit is exchangeable for a share of Moelis & Company Class A common stock (subject to customary adjustments) or cash, at Group LP's option.
Pursuant to Group LP's agreement of limited partnership, Group Units held by the reporting person are not exchangeable for Moelis & Company Class A common stock until the expiration or waiver of certain lockup periods, commencing on the fourth anniversary of the closing of the initial public offering of Moelis & Company Class A common stock. The form of Group LP's agreement of limited partnership has been filed as an exhibit to Moelis & Company's registration statement on Form S-1 (File No. 333194306) dated April 8, 2014.
/s/ Osamu Watanabe as attorney-in-fact for Navid Mahmoodzadegan
2020-10-29