0001698396-18-000011.txt : 20180307 0001698396-18-000011.hdr.sgml : 20180307 20180307193829 ACCESSION NUMBER: 0001698396-18-000011 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: Whittemore Edward B. CENTRAL INDEX KEY: 0001698930 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38021 FILM NUMBER: 18674746 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: Whittemore Laurence CENTRAL INDEX KEY: 0001699000 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38021 FILM NUMBER: 18674745 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: Initial Trust Under the Frederick B. Whittemore 2008 Children's Trust Agreement Dated 11/25/2008 CENTRAL INDEX KEY: 0001698931 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38021 FILM NUMBER: 18674747 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_152046949497909.xml FORM 4 X0306 4 2018-03-05 0 0001433642 Hamilton Lane INC HLNE 0001698931 Initial Trust Under the Frederick B. Whittemore 2008 Children's Trust Agreement Dated 11/25/2008 C/O HAMILTON LANE INCORPORATED ONE PRESIDENTIAL BLVD., 4TH FLOOR BALA CYNWYD PA 19004 0 0 1 0 0001698930 Whittemore Edward B. C/O HAMILTON LANE INCORPORATED ONE PRESIDENTIAL BLVD., 4TH FLOOR BALA CYNWYD PA 19004 0 0 1 0 0001699000 Whittemore Laurence C/O HAMILTON LANE INCORPORATED ONE PRESIDENTIAL BLVD., 4TH FLOOR BALA CYNWYD PA 19004 0 0 1 0 Class B Common Stock 2018-03-05 4 J 0 19145 0.001 D 363760 D Class B Units 2018-03-05 4 J 0 19145 32.79 D Class A Common Stock 19145.0 363760 I See footnote The reporting person exchanged Class B Units (and corresponding shares of Class B common stock) with the Issuer pursuant to an exchange agreement (the "Exchange Agreement") entered into at the time of and in connection with a reorganization incident to the Issuer's initial public offering. At the Issuer's election, the exchange was settled in cash. 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 of Hamilton Lane Advisors, L.L.C. 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 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) The Initial Trust under the Frederick B. Whittemore 2008 Children's Trust Agreement dated November 25, 2008 (the "Trust"), (ii) Edward B. Whittemore and (iii) Laurence F. Whittemore. The Messrs. Whittemore serve as trustees of the Trust. 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