SEC Form 4 · accession 0001698324-17-000017
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
Mar 14, 2017
Accepted (ET)
Mar 16, 2017 · 6:10 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 | Mar 14, 2017 | A | 19,580 | — | A | 1,648,413 | D | |
| Class A Common Stock | holding | — | — | — | 1,553,765 | 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 | holding | — | — | — | Mar 6, 2017 | Jun 1, 2017 | Class A Common Stock | 233,495 | 233,495 | D |
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 shares vest in four equal annual installments.
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.