0001433642-19-000042.txt : 20190318
0001433642-19-000042.hdr.sgml : 20190318
20190318183310
ACCESSION NUMBER: 0001433642-19-000042
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190314
FILED AS OF DATE: 20190318
DATE AS OF CHANGE: 20190318
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Sexton Barbara
CENTRAL INDEX KEY: 0001699159
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38021
FILM NUMBER: 19689668
MAIL ADDRESS:
STREET 1: ONE PRESIDENTIAL BOULEVARD
STREET 2: 4TH FLOOR
CITY: BALA CYNWYD
STATE: PA
ZIP: 19004
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SEXTON O GRIFFITH
CENTRAL INDEX KEY: 0001338580
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38021
FILM NUMBER: 19689669
MAIL ADDRESS:
STREET 1: C/O MORGAN STANLEY
STREET 2: 1585 BROADWAY
CITY: NEW YORK
STATE: NY
ZIP: 10036
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: 2008 Sexton Des. Trust FBO Matthew Sexton
CENTRAL INDEX KEY: 0001698728
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38021
FILM NUMBER: 19689670
BUSINESS ADDRESS:
STREET 1: ONE PRESIDENTIAL BOULEVARD, 4TH FLOOR
CITY: BALA CYNWYD
STATE: PA
ZIP: 19004
BUSINESS PHONE: 610-934-2222
MAIL ADDRESS:
STREET 1: ONE PRESIDENTIAL BOULEVARD, 4TH FLOOR
CITY: BALA CYNWYD
STATE: PA
ZIP: 19004
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: 2008 Sexton Des. Trust FBO Laura Sexton
CENTRAL INDEX KEY: 0001698725
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38021
FILM NUMBER: 19689671
BUSINESS ADDRESS:
STREET 1: ONE PRESIDENTIAL BOULEVARD, 4TH FLOOR
CITY: BALA CYNWYD
STATE: PA
ZIP: 19004
BUSINESS PHONE: 610-934-2222
MAIL ADDRESS:
STREET 1: ONE PRESIDENTIAL BOULEVARD, 4TH FLOOR
CITY: BALA CYNWYD
STATE: PA
ZIP: 19004
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Hamilton Lane INC
CENTRAL INDEX KEY: 0001433642
STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282]
IRS NUMBER: 262482738
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0331
BUSINESS ADDRESS:
STREET 1: ONE PRESIDENTIAL BOULEVARD
STREET 2: 4TH FLOOR
CITY: BALA CYNWYD
STATE: PA
ZIP: 19004
BUSINESS PHONE: (610) 934-2222
MAIL ADDRESS:
STREET 1: ONE PRESIDENTIAL BOULEVARD
STREET 2: 4TH FLOOR
CITY: BALA CYNWYD
STATE: PA
ZIP: 19004
4
1
wf-form4_155294837546789.xml
FORM 4
X0306
4
2019-03-14
0
0001433642
Hamilton Lane INC
HLNE
0001699159
Sexton Barbara
C/O HAMILTON LANE INCORPORATED
ONE PRESIDENTIAL BLVD., 4TH FLOOR
BALA CYNWYD
PA
19004
0
0
1
0
0001338580
SEXTON O GRIFFITH
C/O HAMILTON LANE INCORPORATED
ONE PRESIDENTIAL BLVD., 4TH FLOOR
BALA CYNWYD
PA
19004
1
0
1
0
0001698728
2008 Sexton Des. Trust FBO Matthew Sexton
C/O HAMILTON LANE INCORPORATED
ONE PRESIDENTIAL BLVD., 4TH FLOOR
BALA CYNWYD
PA
19004
0
0
1
0
0001698725
2008 Sexton Des. Trust FBO Laura Sexton
C/O HAMILTON LANE INCORPORATED
ONE PRESIDENTIAL BLVD., 4TH FLOOR
BALA CYNWYD
PA
19004
0
0
1
0
Class B Common Stock
2019-03-14
4
J
0
100000
0.001
D
616233
D
Class B Common Stock
2019-03-14
4
J
0
100000
0.001
D
616233
D
Class A Common Stock
8941
D
Class B Units
2019-03-14
4
J
0
100000
45.65
D
Class A Common Stock
100000.0
616233
I
By the 2008 Sexton Des. Trust FBO Laura Sexton
Class B Units
2019-03-14
4
J
0
100000
45.65
D
Class A Common Stock
100000.0
616233
I
By the 2008 Sexton Des. Trust FBO Matthew Sexton
The 2008 Sexton Des. Trust FBO Laura Sexton (the "Laura Sexton Trust") and The 2008 Sexton Des. Trust FBO Matthew Sexton (the "Matthew Sexton Trust") each exchanged Class B Units (and corresponding shares of Class B common stock) with the Issuer pursuant to an exchange agreement (the "Exchange Agreement") entered into at the time of and in connection with a reorganization incident to the Issuer's initial public offering. At the Issuer's election, each exchange was settled in cash.
The securities reported in this row are owned by the Laura Sexton Trust. Mr. Sexton and Mrs. Barbara Sexton serve as trustees of this trust.
The Class B common stock does not carry economic value beyond the right to receive the par value of such stock upon liquidation, dissolution or exchange of those shares. However, the Class B common stock entitles its holder to ten votes per share on every matter submitted to the Issuer's stockholders for a vote.
The securities reported in this row are owned by The Matthew Sexton Trust. Mr. Sexton and Mrs. Barbara Sexton serve as trustees of this trust.
The securities reported in this row are owned directly by Mr. Sexton.
Pursuant to the Exchange Agreement, the Class B Units of Hamilton Lane Advisors, L.L.C. are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units do not have an expiration date.
The securities reported in this row are owned indirectly by the Laura Sexton Trust through HLA Investments, LLC. Mr. Sexton and Mrs. Barbara Sexton serve as trustees of this trust.
The securities reported in this row are owned indirectly by the Matthew Sexton Trust through HLA Investments, LLC. Mr. Sexton and Mrs. Barbara Sexton serve as trustees of this trust.
This Form is filed by (i) Mr. O. Griffith Sexton, (ii) Mrs. Barbara Sexton, (iii) the Laura Sexton Trust, and (iv) the Matthew Sexton Trust ((iii) and (iv) together, the "Trusts"). Mr. and Mrs. Sexton serve as trustees of each Trust. The Trusts are members of a group that beneficially owns more than 10% of the Issuer's Class A common stock.
/s/ Lydia Gavalis, attorney-in-fact
2019-03-18