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