SEC Form 4
Washington, D.C. 20549


Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*

(Last) (First) (Middle)


(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Moelis & Co [ MC ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
Co-President, MD
3. Date of Earliest Transaction (Month/Day/Year)
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Class A Common Stock 05/01/2019 M 146,723.982 A (1) 146,723.982 D
Class A Common Stock 05/01/2019 D 3.982(2) D $149.26(3) 146,720 D
Class A Common Stock 05/01/2019 S 73,361 D $37.5 73,359 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
2014 Incentive Restricted Stock Units(4) (4) 05/01/2019 M 29,372.007 (4) (4) Class A Common Stock 29,372.007 $0.00 0 D
2014 Incentive RSUs Granted in 2015(4) (4) 05/01/2019 M 49,929.754 (4) (4) Class A Common Stock 49,929.754 $0.00 49,929.752 D
2015 Incentive RSUs(4) (4) 05/01/2019 M 27,218.491 (4) (4) Class A Common Stock 27,218.491 $0.00 54,436.981 D
2016 Incentive RSUs(4) (4) 05/01/2019 M 22,165.383 (4) (4) Class A Common Stock 22,165.383 $0.00 66,496.149 D
2017 Incentive RSUs(4) (4) 05/01/2019 M 18,038.347 (4) (4) Class A Common Stock 18,038.347 $0.00 72,155.673 D
Explanation of Responses:
1. Shares of Class A Common Stock were acquired upon settlement of Restricted Stock Units (RSUs).
2. Pursuant to the terms of the RSUs, fractional shares were settled in cash.
3. Based on the price per share of Class A common stock of $37.50.
4. The RSUs were settled for Class A common stock on May 1, 2019.
This amended Form 4 is being filed to correct a typographical error in Table I, Row 2, Column 5. The original Form 4 showed an amount of $146.72 in error. The correct amount is $146,720.00 as shown in this amended Form 4.
/s/ Osamu Watanabe as attorney-in-fact for Jeffrey Raich 05/03/2019
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.