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