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EX-99.1 - EX-99.1 - Moelis & Coa15-19790_1ex99d1.htm

 

 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 8-K

 

CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

 

Date of Report (Date of Earliest Event Reported): September 17, 2015

 

MOELIS & COMPANY

(Exact name of registrant as specified in its charter)

 

Delaware

 

001-36418

 

46-4500216

(State or other jurisdiction of
incorporation)

 

(Commission
File Number)

 

(IRS Employer
Identification No.)

 

399 Park Avenue, 5th Floor

 

 

New York, New York

 

10022

(Address of principal executive offices)

 

(Zip Code)

 

Registrant’s telephone number, including area code (212) 883-3800

 

 

(Former name or former address, if changed since last report.)

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 

o          Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

o          Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

o          Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

o          Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

 



 

Item 5.02                                           Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

 

(c)                                  On September 17, 2015, Moelis & Company (the “Company”) appointed Navid Mahmoodzadegan and Jeff Raich as Co-Presidents of the Company effective immediately.

 

Navid Mahmoodzadegan is a co-founder and has served as a Managing Director of our Company since 2007 and a director since April 2014.  Jeff Raich is a co-founder and has served as a Managing Director and Head of Mergers and Acquisitions of our Company since 2007 and a director since April 2014.

 

The information required by this Item 5.02(c) with respect to Messrs. Mahmoodzadegan and Raich is disclosed in our Proxy Statement, filed with the SEC on April 28, 2015 under the headings “Corporate Governance — Executive Officers and Directors” and “Executive Compensation - Employment Agreements.”

 

Item 7.01                                           Regulation FD Disclosure.

 

On September 17, 2015, the Company issued a press release.  A copy of the press release is furnished as Exhibit 99.1 to this Current Report on Form 8-K.

 

Item 9.01                                           Financial Statements and Exhibits.

 

(d)

Exhibits

 

 

 

Exhibit
Number

 

Description

 

99.1

 

Press release of Moelis & Company dated September 17, 2015.

 

2



 

SIGNATURE

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

 

MOELIS & COMPANY

 

 

 

 

 

By:

/s/ Osamu Watanabe

 

 

Name: Osamu Watanabe

 

 

Title: General Counsel and Secretary

 

Date:  September 17, 2015

 

3



 

EXHIBIT INDEX

 

Exhibit
Number

 

Description

99.1

 

Press release of Moelis & Company dated September 17, 2015.

 

4