Filing Details

Accession Number:
0001302215-19-000006
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-02-04 16:33:59
Reporting Period:
2019-01-31
Accepted Time:
2019-02-04 16:33:59
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1302215 Houlihan Lokey Inc. HLI Investment Advice (6282) 952770395
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1649209 Lindsey J Alley C/O Houlihan Lokey, Inc.
10250 Constellation Blvd., 5Th Floor
Los Angeles CA 90067
Chief Financial Officer 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 2019-01-31 8,000 $0.00 8,000 No 4 C Direct
Class A Common Stock Disposition 2019-01-31 1,789 $44.25 6,211 No 4 S Direct
Class A Common Stock Disposition 2019-02-01 6,211 $44.27 0 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Direct
No 4 S 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 2019-01-31 8,000 $0.00 8,000 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
8,000 No 4 C Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Class A Common Stock CLASS B COMMON STOCK $0.00 145,070 145,070 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
145,070 145,070 Indirect
Footnotes
  1. Represents Class A Common Stock received upon conversion of Class B Common Stock.
  2. Per share price reflects the weighted average price in a series of open market sales on January 31, 2019 at prices ranging from $44.25 per share to $44.27 per share. The reporting person undertakes to provide to Houlihan Lokey, Inc., any security holder of Houlihan Lokey, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range identified in this footnote.
  3. Per share price reflects the weighted average price in a series of open market sales on February 1, 2019 at prices ranging from $44.11 per share to $44.43 per share. The reporting person undertakes to provide to Houlihan Lokey, Inc., any security holder of Houlihan Lokey, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range identified in this footnote.
  4. 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. 333-205610) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date.
  5. 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.