SEC Form 4 · accession 0000899243-17-025169

HOULIHAN LOKEY, INC. · HLI

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — EXECUTIVE CHAIRMAN · Director · 10% Owner

Period of report

Oct 30, 2017

Accepted (ET)

Nov 1, 2017 · 8:08 pm EDT

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
CLASS A COMMON STOCK^F1	Oct 30, 2017	C	102,314	$0.00	A	102,314	D
CLASS A COMMON STOCK	Oct 30, 2017	F	10,861	$41.28	D	91,453	D
CLASS A COMMON STOCK^F2	Oct 30, 2017	S	91,453	$41.625	D	0	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
CLASS B COMMON STOCK^F3	—	Oct 30, 2017	C	102,314	D	—	—	CLASS A COMMON STOCK	102,314	0	D
CLASS B COMMON STOCK^F4,F3	—	holding	—	—	—	—	—	CLASS A COMMON STOCK	1,480,540	1,480,540	I

F1Represents Class A Common Stock received upon conversion of Class B Common Stock.
F2Per share price reflects the public offering price of $42.00 per share less the underwriters' discount.
F3Class 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.
F4The 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.