0001698032-18-000002.txt : 20180316 0001698032-18-000002.hdr.sgml : 20180316 20180316164546 ACCESSION NUMBER: 0001698032-18-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180314 FILED AS OF DATE: 20180316 DATE AS OF CHANGE: 20180316 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rogers Hartley R. CENTRAL INDEX KEY: 0001577084 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38021 FILM NUMBER: 18696227 MAIL ADDRESS: STREET 1: 830 CRESCENT CENTRE DRIVE STREET 2: SUITE 610 CITY: FRANKLIN STATE: TN ZIP: 37067 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_152123313288174.xml FORM 4 X0306 4 2018-03-14 0 0001433642 Hamilton Lane INC HLNE 0001577084 Rogers Hartley R. C/O HAMILTON LANE INCORPORATED ONE PRESIDENTIAL BLVD., 4TH FLOOR BALA CYNWYD PA 19004 1 1 1 0 Chairman Class A Common Stock 2018-03-14 4 A 0 18388 A 201503 D Class A Common Stock 2018-03-14 4 F 0 26294 38.07 D 175209 D Class B Common Stock 11356448 I See footnote Class B Units Class A Common Stock 11356448.0 11356448 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. 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. These securities are owned directly by HLA Investments, LLC ("HLAI"). The reporting person is the manager of HRHLA, LLC, the managing member of HLAI. Pursuant to an Exchange Agreement entered into in connection with a reorganization incident to the Issuer's initial public offering (the "Exchange Agreement"), the Class B 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 of HLA do not have an expiration date. These securities are owned directly by HLAI. The reporting person is the manager of HRHLA, LLC, the managing member of HLAI. In addition to serving as an officer and director 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/ Lydia Gavalis, attorney-in-fact 2018-03-16