Filing Details
- Accession Number:
- 0001302215-19-000073
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-12-10 16:18:45
- Reporting Period:
- 2019-12-06
- Accepted Time:
- 2019-12-10 16:18:45
- 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 |
---|---|---|---|---|---|---|---|
1122672 | Irwin Gold | C/O Houlihan Lokey, Inc. 10250 Constellation Blvd., 5Th Floor Los Angeles CA 90067 | Executive Chairman | Yes | Yes | 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 | Acquisiton | 2019-12-06 | 366 | $0.00 | 366 | No | 4 | C | Direct | |
Class A Common Stock | Disposition | 2019-12-06 | 366 | $49.01 | 0 | No | 4 | S | Direct | |
Class A Common Stock | Acquisiton | 2019-12-09 | 3,962 | $0.00 | 3,962 | No | 4 | C | Direct | |
Class A Common Stock | Disposition | 2019-12-09 | 3,962 | $48.05 | 0 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Direct | |
No | 4 | S | Direct | |
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 | 2019-12-06 | 366 | $0.00 | 366 | $0.00 |
Class A Common Stock | CLASS B COMMON STOCK | Disposition | 2019-12-09 | 3,962 | $0.00 | 3,962 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | C | Direct | ||
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 | 1,393,957 | 1,393,957 | Indirect |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
1,393,957 | 1,393,957 | Indirect |
Footnotes
- 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 Date (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.
- Per share price reflects the weighted average price in a series of open market sales on December 6, 2019 at prices ranging from $49.00 per share to $49.04 per share. The reporting person undertakes to provide to Houlihan Lokey, Inc., and security holder of Houlihan Lokey, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range identified in this footnote.
- Per share price reflects the weighted average price in a series of open market sales on December 9, 2019 at prices ranging from $48.00 per share to $48.12 per share. The reporting person undertakes to provide to Houlihan Lokey, Inc., and security holder of Houlihan Lokey, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range identified in this footnote.
- The reporting person is a trustee of the HL Voting Trust (the "Voting Trust"). The trustees of the Voting Trust have shared voting control over the shares deposited into the Voting Trust. The reporting person has a pecuniary interest in and investment control over the shares reported herein.