Filing Details
- Accession Number:
- 0001302215-20-000019
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-03-20 16:37:55
- Reporting Period:
- 2020-03-19
- Accepted Time:
- 2020-03-20 16:37:55
- 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 | 2020-03-19 | 15,000 | $0.00 | 15,000 | No | 4 | C | Direct | |
| Class A Common Stock | Disposition | 2020-03-19 | 15,000 | $49.50 | 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 | 2020-03-19 | 15,000 | $0.00 | 15,000 | $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 | 1,305,957 | 1,305,957 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 1,305,957 | 1,305,957 | 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.
- Represents shares of Class B Common Stock deposited into the HL Voting Trust (the "Voting Trust"). The reporting person is a trustee of 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.
Billionaire Hedge Funds
