SEC Form 4 · accession 0001302215-18-000010

HOULIHAN LOKEY, INC. · HLI

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

Reporting owner

Officer — CHIEF EXECUTIVE OFFICER · Director · 10% Owner

Period of report

May 15, 2018

Accepted (ET)

May 21, 2018 · 9:42 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	12,945	A	—	—	CLASS A COMMON STOCK	12,945	12,945	D
CLASS B COMMON STOCK^F3,F4,F1	—	May 15, 2018	Z	12,945	D	—	—	CLASS A COMMON STOCK	12,945	1,018,155	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 12,945 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.
F3Represents 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.
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.