Toggle SGML Header (+)


Section 1: 8-K (8-K)

8-K

 

 

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): June 7, 2019

 

 

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

 

 

Check the appropriate box below if the Form 8-K is intended to simultaneously satisfy the filing obligation of the Registrant under any of the following provisions:

 

Written communications pursuant to Rule 425 under the Securities Act

 

Soliciting material pursuant to Rule 14a-12 under the Exchange Act

 

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

 

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

Indicate by check mark whether the registrant is an emerging growth company as defined in as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class

 

Trading

Symbol(s)

 

Name of each exchange

on which registered

Class A Common Stock   MC   NYSE

Emerging growth company  ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.  ☐

 

 

 


Item 5.07.

Submission of Matters to a Vote of Security Holders.

On June 5, 2019, the Company held its annual meeting of stockholders. At the meeting, stockholders voted on proposals (1) to elect eight directors to the Company’s board of directors; (2) approve, on an advisory basis, the compensation of the Company’s named executive officers and (3) to ratify the appointment of Deloitte & Touche LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2019. Following is the final tabulation of votes cast at the meeting.

Proposal 1: Election of Directors

 

Nominee

   Votes For      Votes Withheld      Broker Non-Votes  

Kenneth Moelis

     124,741,906        20,865,960        3,232,239  

Navid Mahmoodzadegan

     123,371,291        22,236,575        3,232,239  

Jeffrey Raich

     123,371,031        22,235,835        3,232,239  

Eric Cantor

     122,946,412        22,661,454        3,232,239  

Elizabeth Crain

     123,372,131        22,235,735        3,232,239  

John A. Allison IV

     140,102,494        5,505,372        3,232,239  

Yolonda Richardson

     140,148,049        5,459,817        3,232,239  

Kenneth L. Shropshire

     139,866,078        5,741,788        3,232,239  

Proposal 2

The non-binding, advisory vote on executive compensation was approved, on an advisory basis, based upon the following final tabulation of votes:

 

For

     141,512,363  

Against

     4,014,084  

Abstain

     81,419  

Broker non-votes

     3,232,239  

Proposal 3

The appointment of Deloitte & Touche LLP as our independent registered public accounting firm for 2019 was ratified, based upon the following final tabulation of votes:

 

For

     147,729,031  

Against

     1,037,207  

Abstain

     73,867  

Broker non-votes

     —    

(c) Not applicable.

 

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: June 7, 2019

 

3

(Back To Top)