0001302215-23-000098.txt : 20231204 0001302215-23-000098.hdr.sgml : 20231204 20231204200941 ACCESSION NUMBER: 0001302215-23-000098 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231201 FILED AS OF DATE: 20231204 DATE AS OF CHANGE: 20231204 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CRAIN CHRISTOPHER M CENTRAL INDEX KEY: 0001649160 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37537 FILM NUMBER: 231464896 MAIL ADDRESS: STREET 1: C/O HOULIHAN LOKEY, INC. STREET 2: 10250 CONSTELLATION BLVD., 5TH FL 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 wk-form4_1701738571.xml FORM 4 X0508 4 2023-12-01 0 0001302215 HOULIHAN LOKEY, INC. HLI 0001649160 CRAIN CHRISTOPHER M C/O HOULIHAN LOKEY, INC. 10250 CONSTELLATION BLVD., 5TH FLOOR LOS ANGELES CA 90067 0 1 0 0 GENERAL COUNSEL 1 CLASS A COMMON STOCK 2023-12-01 4 C 0 1000 0 A 1000 D CLASS A COMMON STOCK 2023-12-01 4 S 0 1000 107.17 D 0 D CLASS B COMMON STOCK 2023-12-01 4 C 0 1000 0 D CLASS A COMMON STOCK 1000 0 D CLASS B COMMON STOCK CLASS A COMMON STOCK 56487 56487 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 August 22, 2023. 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 Christopher M. Crain 2023-12-04