SEC Form 4/A · accession 0000950103-18-006363
HOULIHAN LOKEY, INC. · HLI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Period of report
May 16, 2018
Accepted (ET)
May 21, 2018 · 6:56 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1,F4 | May 16, 2018 | S | 25,307 | $49.1373 | D | 974,693 | D | |
| Class A Common StockF2,F4 | May 17, 2018 | S | 110,665 | $48.9361 | D | 864,028 | D | |
| Class A Common StockF3,F4 | May 18, 2018 | S | 82,028 | $48.6495 | D | 782,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects a weighted average sale price of $49.1373 per share, at prices ranging from $48.95 to $49.60 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F2Reflects a weighted average sale price of $48.9361 per share, at prices ranging from $48.7838 to $49.16 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F3Reflects a weighted average sale price of $48.6495 per share, at prices ranging from $48.50 to $48.86 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F4Owned directly by ORIX HLHZ Holding LLC. Also owned indirectly, through subsidiaries, by ORIX Corporation.
Remarks
This Form 4 is being amended solely to correct the reported prices, which inadvertently reflected the aggregate proceeds for each transaction.