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
  1. 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.
  2. 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.
  3. 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.
  4. 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.