STRATEGIC ALLIANCE AGREEMENT Among SUMITOMO MITSUI BANKING CORPORATION, SMBC NIKKO SECURITIES INC. And MOELIS & COMPANY HOLDINGS LP, MOELIS & COMPANY HOLDINGS GP LLC Dated December 27, 2011Strategic Alliance Agreement • March 24th, 2014 • Moelis & Co • Investment advice • New York
This Strategic Alliance Agreement is entered into as of December 27, 2011 by and among Sumitomo Mitsui Banking Corporation (“SMBC”), a Japanese corporation with its head office at 1-2, Marunouchi 1-chome, Chiyoda-ku, Tokyo 100-0006, Japan and its subsidiary SMBC Nikko Securities Inc. (“Nikko” and together with SMBC, “SMBC/Nikko”), a Japanese corporation with its head office at 3-1, Marunouchi 3-chome, Chiyoda-ku, Tokyo 100-8325, Japan, on the one hand, and Moelis & Company Holdings LP (“Moelis Holdings”), a Delaware limited partnership with offices at 399 Park Avenue, New York, NY 10022, United States, and Moelis & Company Holdings GP LLC, a Delaware limited liability company with offices at 399 Park Avenue, New York, NY 10022, United States (“Moelis General Partner”, and together with Moelis Holdings, the “Moelis Entities”), on the other hand. SMBC, Nikko, Moelis Holdings and Moelis General Partner are each referred to herein as a “party” and collectively referred to as the “parties”.
