# EDGAR Filing Document

**Accession Number:** 0001604685
**File Stem:** 0001209191-23-012992
**Filing Date:** 2023-2
**Character Count:** 10477
**Document Hash:** a3b37b3efc0079060e9f562578bcdb7f
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001209191-23-012992.hdr.sgml**: 20230224

**ACCESSION NUMBER**: 0001209191-23-012992

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230222

**FILED AS OF DATE**: 20230224

**DATE AS OF CHANGE**: 20230224

**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:** 23669649

**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

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>MAHMOODZADEGAN NAVID<br><sub>(Last) (First) (Middle)</sub><br>C/O MOELIS & COMPANY<br>399 PARK AVENUE, 5TH FLOOR<br><sub>(Street)</sub><br>NEW YORK, NY 10022<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-22 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Co-President, MD_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Moelis & Co [ MC ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Class A Common Stock | 2023-02-22 |  | M |  | 110565.69 | A | <sup>(1)</sup> | 256361.69 | D |  |
| Class A Common Stock | 2023-02-22 |  | F |  | 19240.69 | D | $42.06 | 237121 | D |  |
| Class A Common Stock | 2023-02-22 |  | M |  | 60841 | A | <sup>(2)</sup> | 297962 | D |  |
| Class A Common Stock<sup>(3)</sup> | 2023-02-22 |  | S |  | 68561 | D | $42.06 | 229401 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 2017 Incentive Restricted Stock Units<sup>(4)</sup> | <sup>(4)</sup> | 2023-02-22 |  | M |  |  | 24821.73 | <sup>(4)</sup> | <sup>(4)</sup> | Class A Common Stock | 24821.73 | $0.00 | 0 | D |  |
| 2018 Incentive Restricted Stock Units<sup>(4)</sup> | <sup>(4)</sup> | 2023-02-22 |  | M |  |  | 33745.33 | <sup>(4)</sup> | <sup>(4)</sup> | Class A Common Stock | 33745.33 | $0.00 | 33745.33 | D |  |
| 2019 Incentive Restricted Stock Units<sup>(4)</sup> | <sup>(4)</sup> | 2023-02-22 |  | M |  |  | 51998.63 | <sup>(4)</sup> | <sup>(4)</sup> | Class A Common Stock | 51998.63 | $0.00 | 103997.25 | D |  |
| 2020 LP Units of Moelis & Company Group Employee Holdings LP<sup>(5)</sup> | <sup>(2)</sup> | 2023-02-22 |  | M |  |  | 60841 | <sup>(6)</sup> | <sup>(6)</sup> | Class A Common Stock | 60841 | <sup>(2)</sup> | 91262 | D |  |
| 2021 Vested LP Units of Moelis&Co Group Employee Holdings LP<sup>(7)</sup> | <sup>(7)</sup> | 2023-02-22 |  | A<sup>(8)</sup> |  | 68188 |  | <sup>(8)</sup> | <sup>(8)</sup> | Class A Common Stock | 68188 | $0.00 | 68188 | D |  |
| 2021 LP Units of Moelis & Company Group Employee Holdings LP<sup>(7)</sup> | <sup>(7)</sup> | 2023-02-22 |  | A<sup>(9)</sup> |  | 141808 |  | <sup>(9)</sup> | <sup>(9)</sup> | Class A Common Stock | 141808 | $0.00 | 141808 | D |  |

---

### Footnotes:

(1) Shares of Class A Common Stock were acquired upon settlement of Restricted Stock Units (RSUs).

(2) On February 22, 2023 certain of the holder's LP units in Moelis & Company Group Employee Holdings LP ("MCGEH") granted in February 2021 for compensation awarded for the 2020 fiscal year (the "2020 LP Units") were exchanged  for an equal number of shares of Moelis & Company Class A common stock pursuant to the terms of the Second Amended and Restated Limited Partnership Agreement of MCGEH.

(3) Class A Common Stock sold by Mr. Mahmoodzadegan in order to raise proceeds to satisfy tax obligations triggered by delivery of the Class A Common Stock upon settlement of the RSUs and LP units. Federal taxes are not withheld from Class A Common Stock delivered to Mr. Mahmoodzadegan upon settlement of RSUs and exchange of LP units because he is a partner in Moelis & Company Partner Holdings LP.

(4) The RSUs were settled for Class A common stock on February 22, 2023.

(5) Certain of the 2020 LP Units became eligible for exchange into Class A Common Stock following vesting and Book-Up (as defined below).

(6) The 2020 LP Units vest over four years as follows: (a) 40% vested on February 23, 2023, and (b) and 20% vests on each of February 23, 2024, February 23, 2025 and February 23, 2026,  These 2020 LP Units may be redeemed by the holder for shares of Class A Common Stock on a one-for-one basis after the LP Units become vested and a sufficient amount of profits have been allocated to the holder of the LP Units (the "Book-Up").

(7) Limited partnership units of MCGEH may be redeemed by the holder for shares of Class A Common Stock on a one-for-one basis pursuant to the terms of the Second Amended and Restated Limited Partnership Agreement of MCGEH.

(8) Reflects a profits interest award in the form of LP Units granted to the Reporting Person on February 17, 2022 in connection with compensation awarded for the 2021 fiscal year (the "2021 Vested LP Units").  The 2021 Vested LP Units vest at grant and may be redeemed by the holder for shares of Class A Common Stock on a one-for-one basis on the third anniversary of the grant date (February 2025) and a sufficient amount of profits have been allocated to the holder of the LP Units (the "Book-Up"). On February 22, 2023, the Issuers Compensation Committee certified the achievement of the Book-Up.  In addition, the LP Units are subject to sale and non-compete restrictions through the third anniversary of the grant date.  The redemption rights described herein do not expire.

(9) Reflects a profits interest award in the form of LP Units granted to the Reporting Person on February 17, 2022 in connection with compensation awarded for the  2021 fiscal year (the "2021 LP Units").  The 2021 LP Units vest over four years as follows: (a) 40% vests on February 23, 2024, and (b) and 20% vests on each of February 23, 2025, February 23, 2026 and February 23, 2027,  These 2021 LP Units may be redeemed by the holder for shares of Class A Common Stock on a one-for-one basis after the LP Units become vested and a sufficient amount of profits have been allocated to the holder of the LP Units (the "Book-Up"). On February 22, 2023, the Issuers Compensation Committee certified the achievement of the Book-Up.  These 2021 LP Units remain subject to the time-based vesting requirements described herein. The redemption rights described herein do not expire.

**Signature:** /s/ Osamu Watanabe as attorney-in-fact for Navid Mahmoodzadegan  
**Date:** 2023-02-24

### Remarks:

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.**