0001302215-24-000064.txt : 20240528 0001302215-24-000064.hdr.sgml : 20240528 20240528162336 ACCESSION NUMBER: 0001302215-24-000064 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240523 FILED AS OF DATE: 20240528 DATE AS OF CHANGE: 20240528 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ALLEY J LINDSEY CENTRAL INDEX KEY: 0001649209 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37537 FILM NUMBER: 24992200 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] ORGANIZATION NAME: 02 Finance 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_1716927805.xml FORM 4 X0508 4 2024-05-23 0 0001302215 HOULIHAN LOKEY, INC. HLI 0001649209 ALLEY J LINDSEY C/O HOULIHAN LOKEY, INC. 10250 CONSTELLATION BLVD., 5TH FLOOR LOS ANGELES CA 90067 0 1 0 0 Chief Financial Officer 0 CLASS B COMMON STOCK 2024-05-23 4 A 0 1848 0 A CLASS A COMMON STOCK 1848 1848 D CLASS B COMMON STOCK 2024-05-23 4 Z 0 1848 0 D CLASS A COMMON STOCK 1848 79617 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. On May 23, 2024, the Issuer granted 1,848 performance shares of Class B Common Stock to the reporting person pursuant to its 2016 Incentive Award Plan, which vest in four equal annual installments following the grant date if certain performance goals based upon revenue growth are achieved. If on vesting date such performance criteria are not achieved, the annual installment of shares will be forfeited. 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. J. Lindsey Alley 2024-05-28