Filing Details

Accession Number:
0000899243-17-007909
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-03-17 12:57:20
Reporting Period:
2017-03-15
Filing Date:
2017-03-17
Accepted Time:
2017-03-17 12:57:20
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1302215 Houlihan Lokey Inc. HLI () NY
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1122670 A David Preiser 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 2017-03-15 6,711 $0.00 6,711 No 4 C Direct
Class A Common Stock Disposition 2017-03-15 6,711 $29.05 0 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C 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 2017-03-15 6,711 $0.00 6,711 $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 $0.00 664,249 664,249 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
664,249 664,249 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.