0001140361-15-032955.txt : 20150820 0001140361-15-032955.hdr.sgml : 20150820 20150820162353 ACCESSION NUMBER: 0001140361-15-032955 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150818 FILED AS OF DATE: 20150820 DATE AS OF CHANGE: 20150820 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HOULIHAN LOKEY, INC. CENTRAL INDEX KEY: 0001302215 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE BUSINESS ADDRESS: STREET 1: HOULIHAN LOKEY, INC. STREET 2: 10250 CONSTELLATION BLVD., 5TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90067 BUSINESS PHONE: 310.553.8871 MAIL ADDRESS: STREET 1: HOULIHAN LOKEY, INC. STREET 2: 10250 CONSTELLATION BLVD., 5TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90067 FORMER COMPANY: FORMER CONFORMED NAME: HOULIHAN LOKEY HOWARD & ZUKIN INC DATE OF NAME CHANGE: 20040902 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ORIX CORP CENTRAL INDEX KEY: 0001070304 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS BUSINESS CREDIT INSTITUTION [6159] FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 333-205610 FILM NUMBER: 151066566 BUSINESS ADDRESS: STREET 1: WORLD TRADE CENTER BLDG. STREET 2: 2-4-1 HAMAMATSU-CHO, MINATO-KU CITY: TOKYO STATE: M0 ZIP: 105 6135 BUSINESS PHONE: 81334353000 MAIL ADDRESS: STREET 1: WORLD TRADE CENTER BLDG. STREET 2: 2-4-1 HAMAMATSU-CHO, MINATO-KU CITY: TOKYO STATE: M0 ZIP: 105 6135 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ORIX HLHZ Holding LLC CENTRAL INDEX KEY: 0001650299 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 333-205610 FILM NUMBER: 151066567 BUSINESS ADDRESS: BUSINESS PHONE: 214-237-2000 MAIL ADDRESS: STREET 1: 1717 MAIN STREET STREET 2: SUITE 900 CITY: DALLAS STATE: TX ZIP: 75201 4 1 doc1.xml FORM 4 X0306 4 2015-08-18 0 0001302215 HOULIHAN LOKEY, INC. HLI 0001650299 ORIX HLHZ Holding LLC 1717 MAIN STREET, SUITE 900 DALLAS TX 75201 0 0 1 0 0001070304 ORIX CORP WORLD TRADE CENTER BLDG. 2-4-1 HAMAMATSU-CHO, MINATO-KU TOKYO M0 105 6135 JAPAN 0 0 1 0 Class A Common Stock 2015-08-18 4 C 0 9595289 0 A 9595289 D Class A Common Stock 2015-08-18 4 S 0 9595289 19.58 D 0 D Class B Common Stock 2015-08-18 4 J 0 31205620 A Class A Common Stock 31205620 31205620 D Class B Common Stock 2015-08-18 4 C 0 9595289 0 D Class A Common Stock 9595289 21610331 D Owned directly by ORIX HLHZ Holding LLC. Also owned indirectly, through subsidiaries, by ORIX Corporation. Convertible into Class A Common Stock on one-for-one basis, upon transfer or final conversion dates as described in Issuer's registration statement on Form S-1 (file no. 333-205610) relating to its initial public offering. Issued in exchange for securities in predecessor entities owned by the reporting persons in connection with a corporate reorganization that became effective on the closing date of the issuer's initial public offering. ORIX Corporation, By: /s/ Hideto Nishitani, Executive Officer 2015-08-20 ORIX HLHZ Holding LLC, By: ORIX Capital Markets, LLC, its managing member, by: /s/ Paul Wilson, Chief Financial Officer 2015-08-20