0001433642-21-000054.txt : 20210316
0001433642-21-000054.hdr.sgml : 20210316
20210316165526
ACCESSION NUMBER: 0001433642-21-000054
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210314
FILED AS OF DATE: 20210316
DATE AS OF CHANGE: 20210316
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Lucey Kevin J.
CENTRAL INDEX KEY: 0001698398
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38021
FILM NUMBER: 21746638
MAIL ADDRESS:
STREET 1: ONE PRESIDENTIAL BOULEVARD
STREET 2: 4TH FLOOR
CITY: BALA CNYWYD
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_161592809428605.xml
FORM 4
X0306
4
2021-03-14
0
0001433642
Hamilton Lane INC
HLNE
0001698398
Lucey Kevin J.
C/O HAMILTON LANE INCORPORATED
ONE PRESIDENTIAL BLVD., 4TH FLOOR
BALA CYNWYD
PA
19004
0
1
1
0
Chief Operating Officer
Class A Common Stock
2021-03-14
4
A
0
3273
A
25072
D
Class A Common Stock
2021-03-14
4
F
0
3142
87.10
D
21930
D
Class A Common Stock
58010
I
See footnote
Class B Common Stock
190869
D
Class B Units
Class A Common Stock
190869.0
190869
I
See footnote
Class C Units
Class A Common Stock
25557.0
25557
I
See footnote
Shares issued to the reporting person pursuant to an award of restricted stock under the Issuer's 2017 Equity Incentive Plan. The shares vest in four equal annual installments.
Shares delivered to the issuer for the payment of withholding taxes due upon the vesting of previously granted restricted stock awards.
These shares are owned directly by a trust for the benefit of Mr. Lucey's spouse and children, of which his spouse is a trustee.
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 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.
In addition to serving as an officer 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/ Lauren Platko, attorney-in-fact
2021-03-16