SEC Form 4 · accession 0001302215-16-000087
HOULIHAN LOKEY, INC. · HLI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Irwin Gold
Officer — EXECUTIVE CHAIRMAN · Director · 10% Owner
Period of report
Nov 17, 2016
Accepted (ET)
Nov 21, 2016 · 5:10 pm EST
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 | Nov 17, 2016 | C | 10,000 | $0.00 | A | 10,000 | D | |
| CLASS A COMMON STOCKF2 | Nov 17, 2016 | G | 10,000 | $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 STOCKF1 | — | Nov 17, 2016 | C | 10,000 | A | — | — | CLASS A COMMON STOCK | 10,000 | 0 | D |
| CLASS B COMMON STOCKF3,F1 | — | holding | — | — | — | — | — | CLASS A COMMON STOCK | 1,694,203 | 1,694,203 | I |
Explanation of responses
- F1Class 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 Date (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.
- F2On November 17, 2016, the reporting person made a charitable donation of 10,000 shares of Class B Common Stock. No value was received for the donated shares.
- F3The 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.