0001433642-17-000047.txt : 20170330 0001433642-17-000047.hdr.sgml : 20170330 20170330161942 ACCESSION NUMBER: 0001433642-17-000047 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170328 FILED AS OF DATE: 20170330 DATE AS OF CHANGE: 20170330 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lucey Kevin J. CENTRAL INDEX KEY: 0001698398 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38021 FILM NUMBER: 17725926 MAIL ADDRESS: STREET 1: ONE PRESIDENTIAL BOULEVARD STREET 2: 4TH FLOOR CITY: BALA CNYWYD STATE: PA ZIP: 19004 4 1 wf-form4_149090514392260.xml FORM 4 X0306 4 2017-03-28 0 0001433642 Hamilton Lane INC HLNE 0001698398 Lucey Kevin J. C/O HAMILTON LANE INCORPORATED ONE PRESIDENTIAL BLVD., 4TH FLOOR BALA CYNWYD PA 19004 0 1 1 0 Chief Operating Officer Class A Common Stock 2017-03-28 4 F 0 10512 18.79 D 23776 D Restricted Class A Common Stock 64524 D Class B Common Stock 379755 I See footnote Class B Units Class A Common Stock 379755.0 379755 I See footnote Class C Units Class A Common Stock 552825.0 552825 I See footnote Shares delivered to the issuer for the payment of witholding taxes due upon the vesting of restricted stock previously granted. In the reorganization(the "Reorganization") of Hamilton Lane Advisors, L.L.C. ("HLA") in connection with the Issuer's initial public offering (the "IPO"), shares of the Class B common stock of the Issuer, par value $0.001 per share, were issued and sold at par value to certain persons who held voting interests in HLA prior to the Reorganization. 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. In the Reorganization, the voting interests of HLA held prior to the IPO were converted into Class B Units and the non-voting interests of HLA were converted into Class C Units. Pursuant to an Exchange Agreement entered into in connection with the Reorganization, the Class B Units and Class C Units of HLA 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 and Class C Units of HLA do not have an expiration date. Held on behalf of the reporting person by HL Management Investors, LLC. In addition to serving as an officer of the Issuer, Mr. Lucey is a member of a group that beneficially owns more than 10% of the Issuer's Class A Common Stock. /s/ Lydia Gavalis, attorney-in-fact 2017-03-30