0001179110-15-012417.txt : 20150820 0001179110-15-012417.hdr.sgml : 20150820 20150820171547 ACCESSION NUMBER: 0001179110-15-012417 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150818 FILED AS OF DATE: 20150820 DATE AS OF CHANGE: 20150820 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HOULIHAN LOKEY, INC. CENTRAL INDEX KEY: 0001302215 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BEISER SCOTT L CENTRAL INDEX KEY: 0001649212 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 333-205610 FILM NUMBER: 151066898 MAIL ADDRESS: STREET 1: C/O HOULIHAN LOKEY, INC. STREET 2: 10250 CONSTELLATION BLVD., 5TH FL CITY: LOS ANGELES STATE: CA ZIP: 90067 4 1 edgar.xml FORM 4 - X0306 4 2015-08-18 0 0001302215 HOULIHAN LOKEY, INC. HLI 0001649212 BEISER SCOTT L C/O HOULIHAN LOKEY, INC. 10250 CONSTELLATION BLVD., 5TH FLOOR LOS ANGELES CA 90067 1 1 1 0 CHIEF EXECUTIVE OFFICER CLASS A COMMON STOCK 2015-08-18 4 C 0 93710 0 A 93710 D CLASS A COMMON STOCK 2015-08-18 4 S 0 93710 21.00 D 0 D CLASS B COMMON STOCK 2015-08-18 4 A 0 1265522 0 A CLASS A COMMON STOCK 1265522 1265522 D CLASS B COMMON STOCK 2015-08-18 4 C 0 93710 0 D CLASS A COMMON STOCK 93710 1171812 D CLASS B COMMON STOCK 2015-08-18 4 Z 0 1171812 0 D CLASS A COMMON STOCK 1171812 1171812 I BY HL VOTING TRUST Represents shares of Class B Common Stock of the Issuer acquired by the reporting person in the merger of the Issuer into HL Transitory Merger Company, Inc. ("NewCo"), as successor to Fram Holdings Inc., with the Issuer as the surviving entity (the "Merger"), in exchange for securities of NewCo held by the reporting person (based on an exchange ratio of one Class B common share for each one cancelled NewCo share, with no additional consideration). 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 Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333- 333-205610) concerning the Issuer's initial public offering (the "Offering"). The Class B Common Stock has no expiration date. Includes 5,584 shares of Class B Common Stock that are currently unvested and shall vest as to approximately 66% of the shares on April 30, 2016 and 34% of the shares on April 30, 2017. In addition, includes 4,166 shares that vest in substantially equal one-third installments on each of April 30, 2016, 2017 and 2018. In addition, includes 40,826 shares of Class B Common Stock that are currently unvested and vest as to one-ninth of the shares on April 30, 2016, and as to two-ninths of the shares on each of April 30, 2017, 2018, 2019 and 2020. Represents the conversion of Class B Common Stock and subsequent sale of Class A Common Stock to the underwriters in the Offering; the shares of Class B Common Stock automatically converted into Class A Common Stock upon such sale on a one-for-one basis. Represents shares of Class B Common Stock deposited into the HL Voting Trust (the "Voting Trust"). The reporting person retains investment control and dispositive power over the shares deposited into the Voting Trust. 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 Scott L. Beiser 2015-08-20