Filing Details
- Accession Number:
- 0000899243-17-004391
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-02-16 20:28:22
- Reporting Period:
- 2017-02-14
- Filing Date:
- 2017-02-16
- Accepted Time:
- 2017-02-16 20:28:22
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1302215 | Houlihan Lokey Inc. | HLI | Investment Advice (6282) | 952770395 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1360042 | Joseph Scott Adelson | C/O Houlihan Lokey, Inc. 10250 Constellation Blvd., 5Th Floor Los Angeles CA 90067 | Co-President | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Acquisiton | 2017-02-14 | 90,337 | $0.00 | 90,337 | No | 4 | C | Direct | |
| Class A Common Stock | Disposition | 2017-02-14 | 21,345 | $32.30 | 68,992 | No | 4 | F | Direct | |
| Class A Common Stock | Disposition | 2017-02-14 | 68,992 | $29.25 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Class B Common Stock | Disposition | 2017-02-14 | 90,337 | $0.00 | 90,337 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Class B Common Stock | $0.00 | 1,023,398 | 1,023,398 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 1,023,398 | 1,023,398 | Indirect |
Footnotes
- Represents Class A Common Stock received upon conversion of Class B Common Stock.
- Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610)) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date.
- The shares are held through the HL Voting Trust. The reporting person retains investment control and dispositive power over such shares.
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