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