SEC Form 4 · accession 0001302215-18-000012
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
May 15, 2018
Accepted (ET)
May 21, 2018 · 9:44 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.
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,F1 | — | May 15, 2018 | A | 3,526 | A | — | — | CLASS A COMMON STOCK | 3,526 | 3,526 | D |
| CLASS B COMMON STOCKF3,F1 | — | May 15, 2018 | A | 1,011 | A | — | — | CLASS A COMMON STOCK | 1,011 | 4,537 | D |
| CLASS B COMMON STOCKF1 | — | May 15, 2018 | F | 502 | D | — | — | CLASS A COMMON STOCK | 502 | 4,035 | D |
| CLASS B COMMON STOCKF4,F1 | — | May 15, 2018 | Z | 4,035 | D | — | — | CLASS A COMMON STOCK | 4,035 | 166,965 | 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 May 15, 2018, the Issuer granted 3,526 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 1,011 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.