0001433642-21-000087.txt : 20210622 0001433642-21-000087.hdr.sgml : 20210622 20210622083309 ACCESSION NUMBER: 0001433642-21-000087 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210617 FILED AS OF DATE: 20210622 DATE AS OF CHANGE: 20210622 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: 211033127 MAIL ADDRESS: STREET 1: 110 WASHINGTON STREET STREET 2: SUITE 1300 CITY: CONSHOHOCKEN STATE: PA ZIP: 19428 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: 110 WASHINGTON STREET STREET 2: SUITE 1300 CITY: CONSHOHOCKEN STATE: PA ZIP: 19428 BUSINESS PHONE: (610) 934-2222 MAIL ADDRESS: STREET 1: 110 WASHINGTON STREET STREET 2: SUITE 1300 CITY: CONSHOHOCKEN STATE: PA ZIP: 19428 4 1 wf-form4_162436516871169.xml FORM 4 X0306 4 2021-06-17 0 0001433642 Hamilton Lane INC HLNE 0001698398 Lucey Kevin J. C/O HAMILTON LANE INCORPORATED 110 WASHINGTON STREET, SUITE1300 CONSHOHOCKEN PA 19428 0 1 1 0 Chief Operating Officer Class A Common Stock 2021-06-17 4 F 0 5891 91.32 D 16039 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 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 2021-06-22