0001179110-18-006867.txt : 20180516
0001179110-18-006867.hdr.sgml : 20180516
20180516160611
ACCESSION NUMBER: 0001179110-18-006867
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180514
FILED AS OF DATE: 20180516
DATE AS OF CHANGE: 20180516
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: 18840043
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
edgar.xml
FORM 4 -
X0306
4
2018-05-14
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
MD & Co-President
Class A Common Stock
2018-05-14
4
M
0
1720
19.45
A
1720
D
Class A Common Stock
2018-05-14
4
S
0
1720
56.758
D
0
D
Class A Common Stock
2018-05-14
4
M
0
5247
19.45
A
5247
D
Class A Common Stock
2018-05-14
4
S
0
5247
56.459
D
0
D
Top Up Options (Right to Buy)
19.45
2018-05-14
4
M
0
6967
0
D
Class A Common Stock
6967
13934
D
Grant of stock options pursuant to the Moelis & Company 2014 Omnibus Plan.
The Top Up Options were originally issued at $25.00. Moelis & Company (the "Company) paid special dividends of $5.55, in aggregate, through March 31 ,2018. As required under Section 5 of the Company's 2014 Omnibus Incentive Plan, the Compensation Committee of the Company's Board of Directors equitable reduced the exercise price of the Company's outstanding options to purchase common stock by $5.55 from $25.00 per share to $19.45 per share. Such options are held by current and former employees of the Company, including offers and directors.
The Top Up Options vest 25% on April 22, 2017, 25% on April 22, 2018 and 50% on April 22, 2019. The Top Up Options expire on April 22, 2020.
/s/ Osamu Watanabe as attorney-in-fact for Jeffrey Raich
2018-05-16