0001302215-20-000137.txt : 20201109
0001302215-20-000137.hdr.sgml : 20201109
20201109162820
ACCESSION NUMBER: 0001302215-20-000137
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201105
FILED AS OF DATE: 20201109
DATE AS OF CHANGE: 20201109
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: 201298105
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_160495728692987.xml
FORM 4
X0306
4
2020-11-05
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
2020-11-05
4
C
0
100
0
A
100
D
CLASS A COMMON STOCK
2020-11-05
4
S
0
100
65.01
D
0
D
CLASS A COMMON STOCK
2020-11-06
4
C
0
200
0
A
200
D
CLASS A COMMON STOCK
2020-11-06
4
S
0
200
65.02
D
0
D
CLASS B COMMON STOCK
2020-11-05
4
C
0
100
0
D
CLASS A COMMON STOCK
100.0
0
D
CLASS B COMMON STOCK
2020-11-06
4
C
0
200
0
D
CLASS A COMMON STOCK
200.0
0
D
CLASS B COMMON STOCK
CLASS A COMMON STOCK
1162935.0
1162935
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 November 6, 2020 at prices ranging from $65.00 per share to $65.04 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 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
2020-11-09