0001698396-18-000007.txt : 20180307
0001698396-18-000007.hdr.sgml : 20180307
20180307193708
ACCESSION NUMBER: 0001698396-18-000007
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180305
FILED AS OF DATE: 20180307
DATE AS OF CHANGE: 20180307
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Rysaffe Trustee Co (CI) Ltd
CENTRAL INDEX KEY: 0001699649
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38021
FILM NUMBER: 18674733
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Oakville Number 2 Trust
CENTRAL INDEX KEY: 0001699245
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38021
FILM NUMBER: 18674734
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
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_152046940404173.xml
FORM 4
X0306
4
2018-03-05
0
0001433642
Hamilton Lane INC
HLNE
0001699245
Oakville Number 2 Trust
C/O HAMILTON LANE INCORPORATED
ONE PRESIDENTIAL BLVD., 4TH FLOOR
BALA CYNWYD
PA
19004
0
0
1
0
0001699649
Rysaffe Trustee Co (CI) Ltd
C/O HAMILTON LANE INCORPORATED
ONE PRESIDENTIAL BLVD., 4TH FLOOR
BALA CYNWYD
PA
19004
0
0
1
0
Class A Common Stock
2018-03-05
4
S
0
250000
34.25
D
1000015
D
Class B Common Stock
7
D
Class B Units
Class A Common Stock
7.0
7
I
See footnote
Sold by the reporting person in a registered underwritten offering pursuant to an underwriting agreement dated February 28, 2018.
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 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 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.
The securities reported are owned indirectly by the Trust through HLA Investments, LLC.
This Form is filed by (i) Oakville Number Two Trust ("Trust") and (ii) Rysaffe Trust Company (CI) Limited ("Trustee"). The Trustee is the trustee of the Trust, and the Trust 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
2018-03-07