SEC Form 4 · accession 0000899243-17-025547
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
Nov 3, 2017
Accepted (ET)
Nov 7, 2017 · 7:03 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 | Nov 3, 2017 | C | 973 | $0.00 | A | 973 | D | |
| CLASS A COMMON STOCKF2 | Nov 3, 2017 | S | 973 | $41.625 | 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 STOCKF3 | — | Nov 3, 2017 | C | 973 | D | — | — | CLASS A COMMON STOCK | 973 | 0 | D |
| CLASS B COMMON STOCKF4,F3 | — | holding | — | — | — | — | — | CLASS A COMMON STOCK | 185,479 | 185,479 | I |
Explanation of responses
- 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 shares are held through the HL Voting Trust. The reporting person retains investment control and dispositive power over such shares.