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
  1. Represents Class A Common Stock received upon conversion of Class B Common Stock.
  2. 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.
  3. The shares are held through the HL Voting Trust. The reporting person retains investment control and dispositive power over such shares.