SEC Form 4 · accession 0001140361-15-032955
HOULIHAN LOKEY, INC. · HLI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Aug 18, 2015
Accepted (ET)
Aug 20, 2015 · 4:23 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 | Aug 18, 2015 | C | 9,595,289 | $0.00 | A | 9,595,289 | D | |
| Class A Common StockF1 | Aug 18, 2015 | S | 9,595,289 | $19.58 | 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,F1,F2 | — | Aug 18, 2015 | J | 31,205,620 | A | — | — | Class A Common Stock | 31,205,620 | 31,205,620 | D |
| Class B Common StockF1,F2 | — | Aug 18, 2015 | C | 9,595,289 | D | — | — | Class A Common Stock | 9,595,289 | 21,610,331 | 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 as described in Issuer's registration statement on Form S-1 (file no. 333-205610) relating to its initial public offering.
- F3Issued in exchange for securities in predecessor entities owned by the reporting persons in connection with a corporate reorganization that became effective on the closing date of the issuer's initial public offering.