0001433642-19-000059.txt : 20190515
0001433642-19-000059.hdr.sgml : 20190515
20190515072721
ACCESSION NUMBER: 0001433642-19-000059
CONFORMED SUBMISSION TYPE: 5
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190331
FILED AS OF DATE: 20190515
DATE AS OF CHANGE: 20190515
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Kelly Michael John
CENTRAL INDEX KEY: 0001698486
FILING VALUES:
FORM TYPE: 5
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38021
FILM NUMBER: 19825070
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
5
1
wf-form5_155791962563341.xml
FORM 5
X0306
5
2019-03-31
0
0
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
2018-12-05
5
J
0
3792
0
D
3792
D
Class B Common Stock
2018-12-05
5
J
0
41302
0
D
41303
D
Class B Units
2018-12-05
5
J
0
41302
0
D
Class A Common Stock
41302.0
41303
I
See footnote
Class C Units
2018-12-05
5
J
0
43800
0
D
Class A Common Stock
43800.0
108086
I
See footnote
Pursuant to a domestic relations order, the reporting person transferred to his ex-spouse 3,792 shares of the Issuer's Class A common stock, 41,302 Class B units of Hamilton Lane Advisors, L.L.C. ("HLA") (and a corresponding number of shares of the Issuer's Class B common stock) and 43,800 Class C units of HLA. The reporting person no longer reports any securities owned by his former spouse.
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 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.
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
2019-05-15