SEC Form 4 · accession 0000950103-18-007182
HOULIHAN LOKEY, INC. · HLI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Jun 4, 2018
Accepted (ET)
Jun 6, 2018 · 3:40 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 | Jun 4, 2018 | C | 1,985,983 | $0.00 | A | 2,767,983 | D | |
| Class A Common StockF1 | Jun 4, 2018 | S | 2,682,983 | $49.11 | D | 85,000 | 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 StockF1,F2 | — | Jun 4, 2018 | C | 1,985,983 | D | — | — | Class A Common Stock | 1,985,983 | 7,162,588 | D |
Explanation of responses
- F1Owned directly by ORIX HLHZ Holding LLC. Also owned indirectly, through subsidiaries, by ORIX Corporation.
- F2Convertible into Class A Common Stock on one-for-one basis, upon transfer or final conversion dates.