Filing Details
- Accession Number:
- 0001179110-15-012421
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-08-20 17:17:52
- Reporting Period:
- 2015-08-18
- Filing Date:
- 2015-08-20
- Accepted Time:
- 2015-08-20 17:17:52
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1302215 | Houlihan Lokey Inc. | HLI | Investment Advice (6282) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1649160 | M Christopher Crain | C/O Houlihan Lokey, Inc. 10250 Constellation Blvd., 5Th Floor Los Angeles CA 90067 | General Counsel | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Acquisiton | 2015-08-18 | 3,917 | $0.00 | 3,917 | No | 4 | C | Direct | |
| Class A Common Stock | Disposition | 2015-08-18 | 3,917 | $21.00 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | CLASS B COMMON STOCK | Acquisiton | 2015-08-18 | 66,081 | $0.00 | 66,081 | $0.00 |
| Class A Common Stock | CLASS B COMMON STOCK | Disposition | 2015-08-18 | 3,917 | $0.00 | 3,917 | $0.00 |
| Class A Common Stock | CLASS B COMMON STOCK | Disposition | 2015-08-18 | 62,164 | $0.00 | 62,164 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 66,081 | No | 4 | A | Direct | ||
| 62,164 | No | 4 | C | Direct | ||
| 62,164 | No | 4 | Z | Indirect |
Footnotes
- Represents shares of Class B Common Stock of the Issuer acquired by the reporting person in the merger of the Issuer into HL Transitory Merger Company, Inc. ("NewCo"), as successor to Fram Holdings Inc., with the Issuer as the surviving entity (the "Merger"), in exchange for securities of NewCo held by the reporting person (based on an exchange ratio of one Class B common share for each one cancelled NewCo share, with no additional consideration).
- Class 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 Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333- 333-205610) concerning the Issuer's initial public offering (the "Offering"). The Class B Common Stock has no expiration date.
- Includes 1,536 shares of Class B Common Stock that are currently unvested and vest in full on April 30, 2016. In addition, includes 4,238 shares that vest in substantially equal one-third installments on each of April 30, 2016, 2017 and 2018. In addition, includes 9,526 shares of Class B Common Stock that are currently unvested and vest as to one-ninth of the shares on April 30, 2016, and as to two-ninths of the shares on each of April 30, 2017, 2018, 2019 and 2020.
- Represents the conversion of Class B Common Stock and subsequent sale of Class A Common Stock to the underwriters in the Offering; the shares of Class B Common Stock automatically converted into Class A Common Stock upon such sale on a one-for-one basis.
- Represents shares of Class B Common Stock deposited into the HL Voting Trust (the "Voting Trust"). The reporting person retains investment control and dispositive power over the shares deposited into the Voting Trust.
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