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