0001209191-20-056270.txt : 20201029
0001209191-20-056270.hdr.sgml : 20201029
20201029211930
ACCESSION NUMBER: 0001209191-20-056270
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: MOELIS KENNETH
CENTRAL INDEX KEY: 0001604686
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36418
FILM NUMBER: 201274486
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
0001604686
MOELIS KENNETH
C/O MOELIS & COMPANY
399 PARK AVENUE, 5TH FLOOR
NEW YORK
NY
10022
1
1
1
0
Chairman, CEO
Class A Common Stock
2020-10-27
4
M
0
1406
A
166790
D
Class B Common Stock, par value $0.01
2020-10-27
4
M
0
2542118
D
Class A Common Stock, par value $0.01
1406
5948820
D
The conversion covered by this footnote automatically occurred pursuant to the terms of the Company's Amended and Restated Certificate of Incorporation when certain Moelis & Company Group LP Units ("Group Units") were exchanged for Class A common stock by certain selling stockholders in connection with the Company's public offering closed on April 21, 2014.
Each share of Class B common stock is convertible into approximately 0.00055 shares of Class A common stock in certain circumstances, including when and if certain holders of Group Units elect to exchange such units for Class A common stock. Such conversions of Class B common stock may often result in conversion into less than 1 share of Class A common stock and in such case in lieu of such fractional share, the Company will pay the holder (Partner Holdings) cash equal to the Value (as defined in the Company's Amended and Restated Certificate of Incorporation) of the fractional share of Class A common stock.
/s/ Osamu Watanabe as attorney-in-fact for Kenneth Moelis
2020-10-29