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Filing Details

Accession Number:: 0001179110-14-017412
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-12-02 17:30:36
Reporting Period:: 2014-12-01

Filing Date:: 2014-12-02
Accepted Time:: 2014-12-02 17:30:36
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1596967	Moelis & Co	MC	Investment Advice (6282)	464500216

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1604691	Jeffrey Raich	C/O Moelis &Amp; Company 399 Park Avenue, 5Th Floor New York NY 10022	Managing Director	Yes	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Class A Common Stock, Par Value $0.01	Acquisiton	2014-12-01	42,296	$0.00	42,296	No	4	M	Indirect	By trust
Class A Common Stock, Par Value $0.01	Acquisiton	2014-12-01	6,301	$0.00	6,301	No	4	M	Indirect	By trust
Class A Common Stock, Par Value $0.01	Acquisiton	2014-12-01	27	$0.00	27	No	4	M	Direct
Class A Common Stock, Par Value $0.01	Disposition	2014-12-01	42,296	$31.75	0	No	4	S	Indirect	By trust
Class A Common Stock, Par Value $0.01	Disposition	2014-12-01	6,301	$31.75	0	No	4	S	Indirect	By trust
Class A Common Stock, Par Value $0.01	Disposition	2014-12-01	27	$31.75	0	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Indirect	By trust
No	4	M	Indirect	By trust
No	4	M	Direct
No	4	S	Indirect	By trust
No	4	S	Indirect	By trust
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Class A Common Stock, Par Value $0.01	Partnership Interests	Disposition	2014-12-01	42,296	$0.00	42,296	$0.00
Class A Common Stock, Par Value $0.01	Partnership Intersts	Disposition	2014-12-01	6,301	$0.00	6,301	$0.00
Class A Common Stock, Par Value $0.01	Partnership Interests	Disposition	2014-12-01	27	$0.00	27	$0.00

Remaning Holdings	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
1,655,960	No	4	M	Indirect
246,695	No	4	M	Indirect
1,090	No	4	M	Direct

Footnotes

Represents transaction by Raich Trust, of which Mr. Raich is a beneficiary. Mr. Raich shares voting and dispositive power over the assets of the trust.
Pursuant to the underwriting agreement for the November 24, 2014 public offering of Moelis & Company Class A common stock, the underwriters exercised their option to purchase additional shares of common stock from the holder as part of the offering. In connection with the closing of such exercise on December 1, 2014, 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 Raich 2010 Annuity Trust, of which Mr. Raich is a beneficiary.
From this price, the holder paid an underwriting discount of $1.349375 per share to the underwriters in connection with the offering.
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.