0001698396-18-000009.txt : 20180307 0001698396-18-000009.hdr.sgml : 20180307 20180307193755 ACCESSION NUMBER: 0001698396-18-000009 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180305 FILED AS OF DATE: 20180307 DATE AS OF CHANGE: 20180307 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: 18674742 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: 18674741 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 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: 18674739 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 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: 18674740 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_152046946071752.xml FORM 4 X0306 4 2018-03-05 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 2018-03-05 4 J 0 475000 0.001 D 716233 D Class B Common Stock 2018-03-05 4 J 0 475000 0.001 D 716233 D Class B Units 2018-03-05 4 J 0 475000 32.79 D Class A Common Stock 475000.0 716233 I By the 2008 Sexton Des. Trust FBO Matthew Sexton Class B Units 2018-03-05 4 J 0 475000 32.79 D Class A Common Stock 475000.0 716233 I By the 2008 Sexton Des. Trust FBO Laura Sexton The reporting person 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, the exchange was settled in cash. The securities reported in this row are owned by The 2008 Sexton Des. Trust FBO Laura Sexton. 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 2008 Sexton Des. Trust FBO Matthew Sexton. Mr. Sexton and Mrs. Barbara Sexton serve as trustees of this trust. 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 2008 Sexton Des. Trust FBO Matthew Sexton 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 2008 Sexton Des. Trust FBO Laura Sexton through HLA Investments, LLC. Mr. Sexton and Mrs. Barbara Sexton serve as trustees of this trust. This Form is filed by (i) Barbara Sexton, (ii) The 2008 Sexton Des. Trust FBO Laura Sexton, and (iii) The 2008 Sexton Des. Trust FBO Matthew Sexton ((ii) and (iii) together, the "Trusts"). Mrs. Sexton and Mr. O. Griffith 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 2018-03-07