SEC Form 4 · accession 0001302215-18-000008

HOULIHAN LOKEY, INC. · HLI

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — CO-PRESIDENT · Director

Period of report

May 15, 2018

Accepted (ET)

May 21, 2018 · 9:38 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001302215

Table I — non-derivative securities

No Table I lines on this filing.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
CLASS B COMMON STOCK^F2,F1	—	May 15, 2018	A	27,946	A	—	—	CLASS A COMMON STOCK	27,946	27,946	D
CLASS B COMMON STOCK^F3,F1	—	May 15, 2018	A	1,264	A	—	—	CLASS A COMMON STOCK	1,264	29,210	D
CLASS B COMMON STOCK^F1	—	May 15, 2018	F	627	D	—	—	CLASS A COMMON STOCK	627	28,583	D
CLASS B COMMON STOCK^F4,F1	—	May 15, 2018	Z	28,583	D	—	—	CLASS A COMMON STOCK	28,583	961,009	I

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 May 15, 2018, the Issuer granted 27,946 vested shares of Class B Common Stock to the reporting person pursuant to its 2016 Incentive Award Plan, which are subject to contractual restrictions on transfer which expire in four equal annual installments following the grant date.
F3On May 15, 2018, the Issuer issued 1,264 vested shares of Class B Common Stock to the reporting person upon vesting of fixed dollar awards pursuant to its 2016 Incentive Award Plan.
F4Represents shares of Class B Common Stock deposited into the HL Voting Trust (the "Voting Trust"). The reporting person retains investment control and dispositive power over the shares deposited into the Voting Trust.