0001433642-18-000105.txt : 20180919
0001433642-18-000105.hdr.sgml : 20180919
20180919202710
ACCESSION NUMBER: 0001433642-18-000105
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: 2008 Grantor Retained Annuity Trust of Mario Giannini, Trustee Joseph G. Maniaci, Esq.
CENTRAL INDEX KEY: 0001698450
STATE OF INCORPORATION: NJ
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38021
FILM NUMBER: 181078531
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: Maniaci Joseph G.
CENTRAL INDEX KEY: 0001698946
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38021
FILM NUMBER: 181078532
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_153740321255344.xml
FORM 4
X0306
4
2018-09-17
0
0001433642
Hamilton Lane INC
HLNE
0001698450
2008 Grantor Retained Annuity Trust of Mario Giannini, Trustee Joseph G. Maniaci, Esq.
C/O HAMILTON LANE INCORPORATED
ONE PRESIDENTIAL BLVD., 4TH FLOOR
BALA CYNWYD
PA
19004
0
0
1
0
0001698946
Maniaci Joseph G.
C/O HAMILTON LANE INCORPORATED
ONE PRESIDENTIAL BLVD., 4TH FLOOR
BALA CYNWYD
PA
19004
0
0
1
0
Class B Common Stock
2018-09-17
4
J
0
250000
0.001
D
727296
D
Class B Units
2018-09-17
4
J
0
250000
47.26
D
Class A Common Stock
250000.0
727296
D
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.
Due to an administrative error, the reporting person's original Form 3 filed on March 8, 2017 incorrectly reported the common stock held by the reporting person as Class A common stock rather than Class B common stock. 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 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.
This Form is filed by (i) the Mario Giannini 2008 Annuity Trust (the "Trust") and (ii) Joseph G. Maniaci. Mr. Maniaci serves as trustee of the Trust. The Trust 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