0001302215-20-000130.txt : 20201102 0001302215-20-000130.hdr.sgml : 20201102 20201102172339 ACCESSION NUMBER: 0001302215-20-000130 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201030 FILED AS OF DATE: 20201102 DATE AS OF CHANGE: 20201102 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PREISER DAVID A CENTRAL INDEX KEY: 0001122670 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37537 FILM NUMBER: 201281353 BUSINESS ADDRESS: STREET 1: 685 THIRD AVENUE STREET 2: 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2125823015 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HOULIHAN LOKEY, INC. CENTRAL INDEX KEY: 0001302215 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 952770395 FISCAL YEAR END: 0331 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 4 1 wf-form4_160435580259884.xml FORM 4 X0306 4 2020-10-30 0 0001302215 HOULIHAN LOKEY, INC. HLI 0001122670 PREISER DAVID A C/O HOULIHAN LOKEY, INC. 10250 CONSTELLATION BLVD., 5TH FLOOR LOS ANGELES CA 90067 1 1 0 0 CO-PRESIDENT CLASS A COMMON STOCK 2020-10-30 4 C 0 1600 0 A 1600 D CLASS A COMMON STOCK 2020-10-30 5 G 0 E 1600 0 D 0 D CLASS B COMMON STOCK 2020-10-30 4 C 0 1600 0 D CLASS A COMMON STOCK 1600.0 0 D CLASS B COMMON STOCK CLASS A COMMON STOCK 550491.0 550491 I BY HL VOTING TRUST 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 Date (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. On October 30, 2020, the reporting person made a charitable donation of 1,600 shares of Class B Common Stock. No value was received for the donated shares. The shares are held by the HL Voting Trust (the "Voting Trust"). The reporting person retains investment control and dispositive power over the shares deposited into the Voting Trust. /s/ J. Lindsey Alley, Attorney-in-Fact for David A. Preiser 2020-11-02