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