SEC Form 4 · accession 0001302215-16-000061
HOULIHAN LOKEY, INC. · HLI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott L Beiser
Officer — CHIEF EXECUTIVE OFFICER · Director · 10% Owner
Period of report
Aug 5, 2016
Accepted (ET)
Aug 9, 2016 · 6:12 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 | Aug 5, 2016 | C | 15,000 | $0.00 | A | 15,000 | D | |
| CLASS A COMMON STOCKF3 | Aug 5, 2016 | G | 15,000 | $0.00 | 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 STOCKF2 | — | Aug 5, 2016 | C | 15,000 | A | — | — | CLASS A COMMON STOCK | 15,000 | 0 | D |
| CLASS B COMMON STOCKF4,F2 | — | holding | — | — | — | — | — | CLASS A COMMON STOCK | 1,217,072 | 1,217,072 | I |
Explanation of responses
- F1Represents Class A Common Stock received upon conversion of Class B Common Stock.
- F2Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333- 333-205610) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date.
- F3On August 5, 2016, the reporting person made a charitable donation of 15,000 shares of Class B Common Stock. This was not a market transaction, so no price is reported. No value was received for the donated shares,
- F4The reporting person is a trustee of the HL Voting Trust (the "Voting Trust"). The trustees of the Voting Trust have shared voting control over the shares deposited into the Voting Trust. The reporting person has a pecuniary interest in and investment control over the shares reported herein.