SEC Form 4 · accession 0001433642-17-000082
Hamilton Lane INC · HLNE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Juan Delgado-Moreira
Officer — Managing Director · 10% Owner
Period of report
May 23, 2017
Accepted (ET)
May 25, 2017 · 4:15 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001433642
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | May 23, 2017 | M | 233,495 | $1.34 | A | 1,821,310 | D | |
| Class A Common StockF1 | May 23, 2017 | F | 33,251 | $19.97 | D | 1,788,059 | D | |
| Restricted Class A Common Stock | holding | — | — | — | 1,614,363 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy) | $1.34 | May 23, 2017 | M | 233,495 | D | Mar 6, 2017 | Jun 1, 2017 | Class A Common Stock | 233,495 | 0 | D |
Explanation of responses
- F1Represents the number of shares delivered to the Issuer in addition to cash for the payment of withholding taxes and the option exercise price in connection with the option exercise.
Remarks
In addition to serving as an officer of the Issuer, Mr. Delgado-Moreira is a member of a group that beneficially owns more than 10% of the Issuer's Class A Common Stock.