Filing Details
- Accession Number:
- 0001433642-18-000098
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-09-19 17:08:53
- Reporting Period:
- 2018-09-17
- Accepted Time:
- 2018-09-19 17:08:53
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1433642 | Hamilton Lane Inc | HLNE | Investment Advice (6282) | 262482738 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1699245 | Trust 2 Number Oakville | C/O Hamilton Lane Incorporated One Presidential Blvd., 4Th Floor Bala Cynwyd PA 19004 | No | No | Yes | No | |
| 1699649 | Rysaffe Trustee Co (Ci) Ltd | C/O Hamilton Lane Incorporated One Presidential Blvd., 4Th Floor Bala Cynwyd PA 19004 | No | No | Yes | 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 | Disposition | 2018-09-17 | 100,000 | $47.26 | 900,015 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Class B Common Stock | 7 | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Class B Units | $0.00 | 7 | 7 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 7 | 7 | Indirect |
Footnotes
- Sold by the reporting person in a registered underwritten offering pursuant to an underwriting agreement dated September 12, 2018.
- The Class B common stock does not carry economic value beyond the right to receive the par value of such stock upon liquidation, dissolution or exchange of those shares. However, the Class B common stock entitles its holder to ten votes per share on every matter submitted to the Issuer's stockholders for a vote.
- Pursuant to an Exchange Agreement entered into in connection with a reorganization incident to the Issuer's initial public offering (the "Exchange Agreement"), the Class B Units of Hamilton Lane Advisors, L.L.C. are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units do not have an expiration date.
- The securities reported are owned indirectly by the Trust through HLA Investments, LLC.
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