0001302215-20-000044.txt : 20200330
0001302215-20-000044.hdr.sgml : 20200330
20200330192545
ACCESSION NUMBER: 0001302215-20-000044
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200327
FILED AS OF DATE: 20200330
DATE AS OF CHANGE: 20200330
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Adelson Scott Joseph
CENTRAL INDEX KEY: 0001360042
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37537
FILM NUMBER: 20759033
MAIL ADDRESS:
STREET 1: 1930 CENTURY PARK WEST
CITY: LOS ANGELES
STATE: CA
ZIP: 90067
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_158561072375344.xml
FORM 4
X0306
4
2020-03-27
0
0001302215
HOULIHAN LOKEY, INC.
HLI
0001360042
Adelson Scott Joseph
C/O HOULIHAN LOKEY, INC.
10250 CONSTELLATION BLVD., 5TH FLOOR
LOS ANGELES
CA
90067
1
1
0
0
CO-PRESIDENT
CLASS A COMMON STOCK
2020-03-27
4
C
0
1009
0
A
1009
D
CLASS A COMMON STOCK
2020-03-27
4
S
0
1009
48.31
D
0
D
CLASS A COMMON STOCK
2020-03-30
4
C
0
26635
0
A
26635
D
CLASS A COMMON STOCK
2020-03-30
4
S
0
26635
48.01
D
0
D
CLASS B COMMON STOCK
2020-03-27
4
C
0
1009
0
D
CLASS A COMMON STOCK
1009.0
0
D
CLASS B COMMON STOCK
2020-03-30
4
C
0
26635
0
D
CLASS A COMMON STOCK
26635.0
0
D
CLASS B COMMON STOCK
CLASS A COMMON STOCK
855496.0
855496
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.
Per share price reflects the weighted average price in a series of open market sales on March 27, 2020 at prices ranging from $48.00 per share to $48.45 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.
Per share price reflects the weighted average price in a series of open market sales on March 30, 2020 at prices ranging from $48.00 per share to $48.20 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 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 Scott J. Adelson
2020-03-30