SEC Form 4 · accession 0000899243-17-004397
HOULIHAN LOKEY, INC. · HLI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
J Lindsey Alley
Officer — CHIEF FINANCIAL OFFICER
Period of report
Feb 14, 2017
Accepted (ET)
Feb 16, 2017 · 8:32 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001302215
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1 | Feb 14, 2017 | C | 15,986 | $0.00 | A | 15,986 | D | |
| Class A Common Stock | Feb 14, 2017 | F | 2,496 | $32.30 | D | 13,490 | D | |
| Class A Common Stock | Feb 14, 2017 | S | 13,490 | $29.25 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class B Common StockF2 | — | Feb 14, 2017 | C | 15,986 | D | — | — | Class A Common Stock | 15,986 | 0 | D |
| Class B Common StockF2,F3 | — | holding | — | — | — | — | — | Class A Common Stock | 201,786 | 201,786 | I |
Explanation of responses
- F1Represents Class A Common Stock received upon conversion of Class B Common Stock.
- F2Class 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 Dates (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.
- F3The shares are held through the HL Voting Trust. The reporting person retains investment control and dispositive power over such shares.