0001433642-18-000088.txt : 20180919
0001433642-18-000088.hdr.sgml : 20180919
20180919170158
ACCESSION NUMBER: 0001433642-18-000088
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180917
FILED AS OF DATE: 20180919
DATE AS OF CHANGE: 20180919
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: 181078146
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_153739090097896.xml
FORM 4
X0306
4
2018-09-17
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 B Common Stock
2018-09-17
4
J
0
500000
0.001
D
2449595
D
Class A Common Stock
123756
D
Class B Common Stock
2862736
I
See footnote
Class B Units
2018-09-17
4
J
0
500000
47.26
D
Class A Common Stock
500000.0
2449595
D
Class B Units
Class A Common Stock
2862736.0
2862736
I
See footnote
The reporting person exchanged Class B Units (and corresponding shares of Class B common stock) with the Issuer pursuant to an exchange agreement entered into at the time of and in connection with a reorganization incident to the Issuer's initial public offering (the "Exchange Agreement"). At the Issuer's election, the exchange was settled in cash.
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.
Represents: 2,579,104 securities owned directly by Hamilton Lane Advisors, Inc. and 283,632 securities owned directly by HLA Investments, LLC.
Pursuant to the Exchange Agreement, the Class B Units of Hamilton Lane Advisors, L.L.C. 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 do not have an expiration date.
In addition to serving as an officer and director of the Issuer, 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
2018-09-19