0001302215-20-000124.txt : 20201028 0001302215-20-000124.hdr.sgml : 20201028 20201028165355 ACCESSION NUMBER: 0001302215-20-000124 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201027 FILED AS OF DATE: 20201028 DATE AS OF CHANGE: 20201028 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GOLD IRWIN CENTRAL INDEX KEY: 0001122672 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37537 FILM NUMBER: 201269342 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_160391842072449.xml FORM 4 X0306 4 2020-10-27 0 0001302215 HOULIHAN LOKEY, INC. HLI 0001122672 GOLD IRWIN C/O HOULIHAN LOKEY, INC. 10250 CONSTELLATION BLVD., 5TH FLOOR LOS ANGELES CA 90067 1 1 1 0 EXECUTIVE CHAIRMAN CLASS A COMMON STOCK 2020-10-27 4 C 0 4979 0 A 4979 D CLASS A COMMON STOCK 2020-10-27 4 S 0 4979 65.09 D 0 D CLASS B COMMON STOCK 2020-10-27 4 C 0 4979 0 D CLASS A COMMON STOCK 4979.0 0 D CLASS B COMMON STOCK CLASS A COMMON STOCK 1163235.0 1163235 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. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 30, 2020. Per share price reflects the weighted average price in a series of open market sales on October 27, 2020 at prices ranging from $65.01 per share to $65.23 per share. The reporting person undertakes to provide to Houlihan Lokey, Inc., and 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. The reporting person is a trustee of the HL Voting Trust (the "Voting Trust"). The trustees of the Voting Trust have shared voting control over the shares deposited into the Voting Trust. The reporting person has a pecuniary interest in and investment control over the shares reported herein. /s/ J. Lindsey Alley, Attorney-in-Fact for Irwin N. Gold 2020-10-28