SEC Form 4 · accession 0001302215-16-000071
HOULIHAN LOKEY, INC. · HLI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
J Lindsey Alley
Officer — Chief Financial Officer
Period of report
Sep 12, 2016
Accepted (ET)
Sep 13, 2016 · 3:54 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 | Sep 12, 2016 | C | 4,000 | $0.00 | A | 4,000 | D | |
| CLASS A COMMON STOCKF3 | Sep 12, 2016 | G | 4,000 | $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 | — | Sep 12, 2016 | C | 4,000 | D | — | — | CLASS A COMMON STOCK | 4,000 | 0 | D |
| CLASS B COMMON STOCKF4,F2 | — | holding | — | — | — | — | — | CLASS A COMMON STOCK | 217,772 | 217,772 | 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. 333-205610) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date.
- F3On September 12, 2016, the reporting person made a charitable donation of 4,000 shares of Class B Common Stock. This was not a market transaction so no price was reported. No value was received for the donated shares.
- F4The shares are held through the HL Voting Trust. The reporting person retains investment control and dispositive power over such shares.