SEC Form 4 · accession 0001140361-17-021534
HOULIHAN LOKEY, INC. · HLI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Period of report
May 17, 2017
Accepted (ET)
May 19, 2017 · 3:45 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,F2 | May 17, 2017 | C | 1,500,000 | $0.00 | A | 1,500,000 | 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 StockF2,F3 | — | May 17, 2017 | C | 1,500,000 | D | — | — | Class A Common Stock | 1,500,000 | 13,210,331 | D |
Explanation of responses
- F1Represents Class A Common Stock received upon conversion of Class B Common Stock.
- F2Owned directly by ORIX HLHZ Holding LLC. Also owned indirectly, through subsidiaries, by ORIX Corporation.
- F3Convertible into Class A Common Stock on one-for-one basis, upon transfer or final conversion dates.