SEC Form 4/A · accession 0001433642-18-000030
Hamilton Lane INC · HLNE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Juan Delgado-Moreira
Officer — Managing Director · 10% Owner
Period of report
Mar 6, 2017
Accepted (ET)
Apr 4, 2018 · 4:07 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 |
|---|---|---|---|---|---|---|---|---|
| Restricted Class A Common StockF1,F2 | Mar 6, 2017 | J | 77,868 | — | A | 77,868 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents the number of shares issued to the reporting person pursuant to an award of restricted stock under the Issuer's 2017 Equity Incentive Plan. The award was issued in substitution for existing awards of restricted interests in HLA that were issued annually in the years prior to the issuer's initial public offering, and the award vests according to the same vesting schedule as the replaced awards: in four equal annual installments each March.
- F2The original Form 4 included 1,550,965 shares of vested Class A common stock that were inadvertently reported as restricted shares. This error also appeared in two additional Forms 4 filed on March 16, 2017 and May 25, 2017. Subsequent Forms 4 were not affected. As of the Form 4 filed on March 7, 2018, the reporting person's total number of shares of Class A common stock includes the restricted Class A common shares previously reported as a separate line item.
Remarks
In addition to serving as an officer of the Issuer, the reporting person is a member of a group that beneficially owns more than 10% of the Issuer's Class A Common Stock.