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