SEC Form 4 · accession 0001302215-17-000054
HOULIHAN LOKEY, INC. · HLI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott Joseph Adelson
Officer — CO-PRESIDENT · Director
Period of report
Nov 14, 2017
Accepted (ET)
Nov 16, 2017 · 3:13 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 14, 2017 | C | 7,500 | $0.00 | A | 7,500 | D | |
| CLASS A COMMON STOCKF2 | Nov 14, 2017 | G | 7,500 | $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 14, 2017 | C | 7,500 | A | — | — | CLASS A COMMON STOCK | 7,500 | 0 | D |
| CLASS B COMMON STOCKF1 | — | holding | — | — | — | — | — | CLASS A COMMON STOCK | 946,158 | 946,158 | 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 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 "Offering"). The Class B Common Stock has no expiration date.
- F2On November 14, 2017, the reporting person made a charitable donation of 7,500 shares of Class B Common Stock. No value was received for the donated shares.