Filing Details
- Accession Number:
- 0001302215-20-000038
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-03-27 08:51:01
- Reporting Period:
- 2020-03-25
- Accepted Time:
- 2020-03-27 08:51:01
- 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 | 2020-03-25 | 501 | $0.00 | 501 | No | 4 | C | Direct | |
| Class A Common Stock | Disposition | 2020-03-25 | 501 | $48.07 | 0 | No | 4 | S | Direct | |
| Class A Common Stock | Acquisiton | 2020-03-26 | 174 | $0.00 | 174 | No | 4 | C | Direct | |
| Class A Common Stock | Disposition | 2020-03-26 | 174 | $48.03 | 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 | 2020-03-25 | 501 | $0.00 | 501 | $0.00 |
| Class A Common Stock | CLASS B COMMON STOCK | Disposition | 2020-03-26 | 174 | $0.00 | 174 | $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 | 564,952 | 564,952 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 564,952 | 564,952 | 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 March 25, 2020 at prices ranging from $48.00 per share to $48.40 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 March 26, 2020 at prices ranging from $48.01 per share to $48.09 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 shares are held by the HL Voting Trust (the "Voting Trust"). The reporting person retains investment control and dispositive power over the shares deposited into the Voting Trust.
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