SEC Form 4 · accession 0001213900-17-009691
HOULIHAN LOKEY, INC. · HLI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Sep 12, 2017
Accepted (ET)
Sep 14, 2017 · 8:34 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 | Sep 12, 2017 | S | 500,000 | $36.1452 | D | 2,500,000 | D | |
| Class A Common StockF2,F4 | Sep 13, 2017 | S | 32,300 | $36.54 | D | 2,467,700 | D | |
| Class A Common StockF3,F4 | Sep 14, 2017 | S | 154,460 | $36.5687 | D | 2,313,240 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects a weighted average sale price of $36.1452 per share, at prices ranging from $36.00 to $37.00 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 $36.54 per share, at prices ranging from $36.35 to $36.925 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 $36.5687 per share, at prices ranging from $36.52 to $36.745 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.