UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
CURRENT REPORT
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of the Securities Exchange Act of 1934
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Securities registered pursuant to Section 12(b) of the Act:
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(NYSE) |
Indicate by check mark whether the registrant is an emerging growth company 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).
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 4, 2020, 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, 2020. 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 |
130,271,350 |
18,544,669 |
4,809,507 |
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| Navid Mahmoodzadegan |
129,429,253 |
19,386,766 |
4,809,507 |
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| Jeffrey Raich |
129,434,959 |
19,381,060 |
4,809,507 |
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| Eric Cantor |
129,183,880 |
19,632,139 |
4,809,507 |
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| Elizabeth Crain |
129,435,215 |
19,380,804 |
4,809,507 |
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| John A. Allison IV |
142,932,802 |
5,883,217 |
4,809,507 |
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| Yolonda Richardson |
142,922,991 |
5,893,028 |
4,809,507 |
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| Kenneth L. Shropshire |
142,937,058 |
5,878,961 |
4,809,507 |
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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 |
145,186,343 |
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| Against |
3,534,325 |
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| Abstain |
95,351 |
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| Broker non-votes |
4,809,507 |
Proposal 3
The appointment of Deloitte & Touche LLP as our independent registered public accounting firm for 2020 was ratified, based upon the following final tabulation of votes:
| For |
152,920,005 |
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| Against |
630,171 |
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| Abstain |
75,350 |
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| Broker non-votes |
— |
(c) Not applicable.
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 5, 2020