0001433642-18-000026.txt : 20180402
0001433642-18-000026.hdr.sgml : 20180402
20180402160647
ACCESSION NUMBER: 0001433642-18-000026
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180330
FILED AS OF DATE: 20180402
DATE AS OF CHANGE: 20180402
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Kelly Michael John
CENTRAL INDEX KEY: 0001698486
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38021
FILM NUMBER: 18728928
MAIL ADDRESS:
STREET 1: ONE PRESIDENTIAL BOULEVARD
STREET 2: 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_152269956861755.xml
FORM 4
X0306
4
2018-03-30
0
0001433642
Hamilton Lane INC
HLNE
0001698486
Kelly Michael John
C/O HAMILTON LANE INCORPORATED
ONE PRESIDENTIAL BLVD., 4TH FLOOR
BALA CYNWYD
PA
19004
0
0
1
0
Class A Common Stock
2018-03-30
4
D
0
7544
0
D
7584
D
Class B Common Stock
82605
D
Class B Units
Class A Common Stock
82605.0
82605
I
See footnote
Class C Units
Class A Common Stock
301886.0
301886
I
See footnote
Shares forfeited to the Issuer pursuant to the Issuer's 2017 Equity Incentive Plan in connection with the reporting person's retirement from the company.
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.
Pursuant to an Exchange Agreement entered into in connection with a reorganization incident to the Issuer's initial public offering, the Class B Units and Class C Units of Hamilton Lane Advisors, L.L.C. ("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.
The reporting person 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
2018-04-02