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