SEC Form 4 · accession 0001649160-26-000004
HOULIHAN LOKEY, INC. · HLI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher M Crain
Officer — GENERAL COUNSEL
Period of report
Sep 10, 2026
Accepted (ET)
Sep 10, 2026 · 4:56 pm EDT
Rule 10b5-1 plan
box not checked
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 STOCK | Sep 10, 2026 | C | 1,000 | $0.00 | A | 1,000 | D | |
| CLASS A COMMON STOCK | Sep 10, 2026 | S | 1,000 | $140.15 | 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 | — | Sep 10, 2026 | C | 1,000 | D | — | — | CLASS A COMMON STOCK | 1,000 | 0 | D |
| CLASS B COMMON STOCKF2,F1 | — | holding | — | — | — | — | — | CLASS A COMMON STOCK | 51,328 | 51,328 | 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.
- F2The shares are held by the HL Voting Trust (the "Voting Trust"). The reporting person retains investment control and dispositive power over the shares deposited into the Voting Trust.