SEC Form 4 · accession 0000950103-18-009406
HOULIHAN LOKEY, INC. · HLI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Aug 1, 2018
Accepted (ET)
Aug 3, 2018 · 3:13 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,F3 | Aug 1, 2018 | S | 44,712 | $49.0171 | D | 1,040,288 | D | |
| Class A Common StockF2,F3 | Aug 2, 2018 | S | 500,000 | $48.5424 | D | 540,288 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects a weighted average sale price of $49.0171 per share, at prices ranging from $49.00 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.
- F2Reflects a weighted average sale price of $48.5424 per share, at prices ranging from $48.50 to $48.85 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.
- F3Owned directly by ORIX HLHZ Holding LLC. Also owned indirectly, through subsidiaries, by ORIX Corporation.