0001433642-17-000048.txt : 20170330 0001433642-17-000048.hdr.sgml : 20170330 20170330162007 ACCESSION NUMBER: 0001433642-17-000048 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: Giannini Mario L CENTRAL INDEX KEY: 0001698053 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38021 FILM NUMBER: 17725949 MAIL ADDRESS: STREET 1: ONE PRESIDENTIAL BOULEVARD STREET 2: 4TH FLOOR CITY: BALA CYNWYD STATE: PA ZIP: 19004 4 1 wf-form4_149090519220294.xml FORM 4 X0306 4 2017-03-28 0 0001433642 Hamilton Lane INC HLNE 0001698053 Giannini Mario L C/O HAMILTON LANE INCORPORATED ONE PRESIDENTIAL BLVD., 4TH FLOOR BALA CYNWYD PA 19004 1 1 1 0 Chief Executive Officer Class A Common Stock 2017-03-28 4 F 0 20826 18.79 D 44019 D Restricted Class A Common Stock 83142 D Class B Common Stock 3228103 D Class B Common Stock 3527303 I See footnote Class B Units Class A Common Stock 3228103.0 3228103 D Class B Units Class A Common Stock 3527303.0 3527303 I See footnote Shares delivered to the issuer for the payment of witholding taxes due upon the vesting of restricted stock previously granted. Represents: 2,579,104 securities owned directly by Hamilton Lane Advisors, Inc., an S-corporation that is wholly owned by Mr. Giannini; 283,632 securities owned directly by HLA Investments, LLC; and 664,567 securities held on behalf of Mr. Giannini by HL Management Investors, LLC. 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. In addition to serving as an officer and director of the Issuer, Mr. Giannini 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