SEC Form 4 · accession 0001302215-18-000018
HOULIHAN LOKEY, INC. · HLI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott L Beiser
Officer — CHIEF EXECUTIVE OFFICER · Director · 10% Owner
Period of report
Jun 11, 2018
Accepted (ET)
Jun 13, 2018 · 4:16 pm EDT
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 | Jun 11, 2018 | C | 15,000 | $0.00 | A | 15,000 | D | |
| CLASS A COMMON STOCKF2 | Jun 11, 2018 | G | 15,000 | $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 | — | Jun 11, 2018 | C | 15,000 | D | — | — | CLASS A COMMON STOCK | 15,000 | 0 | D |
| CLASS B COMMON STOCKF3,F1 | — | holding | — | — | — | — | — | CLASS A COMMON STOCK | 1,003,155 | 1,003,155 | 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 June 11, 2018, the reporting person made a charitable donation of 15,000 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.