0001213900-22-003960.txt : 20220127 0001213900-22-003960.hdr.sgml : 20220127 20220127154449 ACCESSION NUMBER: 0001213900-22-003960 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20220127 DATE AS OF CHANGE: 20220127 GROUP MEMBERS: CANTOR FITZGERALD & CO. GROUP MEMBERS: CANTOR FITZGERALD, L.P. GROUP MEMBERS: CF GROUP MANAGEMENT, INC. GROUP MEMBERS: HOWARD W. LUTNICK SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Hamilton Lane Alliance Holdings I, Inc. CENTRAL INDEX KEY: 0001826814 STANDARD INDUSTRIAL CLASSIFICATION: BLANK CHECKS [6770] IRS NUMBER: 853019776 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-92004 FILM NUMBER: 22563021 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CANTOR FITZGERALD SECURITIES CENTRAL INDEX KEY: 0001219066 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 135 EAST 57TH ST CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2129385000 MAIL ADDRESS: STREET 1: 135 EAST 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10022 SC 13G 1 ea154446-13gcantor_hamilton.htm SCHEDULE 13G

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

 

SCHEDULE 13G

(Amendment No. )*

Under the Securities Exchange Act of 1934

 

Hamilton Lane Alliance Holdings I Inc.
(Name of Issuer)
 
Class A Common Stock, par value $0.0001 per share
(Titles of Class of Securities)
 
40749M103
(CUSIP Number)
 
January 20, 2022

(Date of Event Which Requires Filing of this Statement)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

Rule 13d-1(b)
Rule 13d-1(c)
Rule 13d-1(d)

 

* The remainder of this cover page shall be filled out of a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

 

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934, as amended (the “Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 

 

 

  

CUSIP No. 40749M103 SCHEDULE 13G Page 2 of 11

 

1

NAME OF REPORTING PERSON OR

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

Cantor Fitzgerald Securities

 
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)

(b)

3 SEC USE ONLY  
4

CITIZENSHIP OR PLACE OF ORGANIZATION

New York

 

NUMBER OF
SHARES
BENEFICIALLY
OWNED
BY EACH
REPORTING
PERSON
WITH

5

SOLE VOTING POWER

0

6

SHARED VOTING POWER

1,208,875

7

SOLE DISPOSITIVE POWER

0

8

SHARED DISPOSITIVE POWER

1,208,875

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

1,208,875

 
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

4.4%

 
12

TYPE OF REPORTING PERSON

PN

 

 

 

 

 

CUSIP No. 40749M103 SCHEDULE 13G Page 3 of 11

 

1

NAME OF REPORTING PERSON OR

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

Cantor Fitzgerald & Co.

 
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)

(b)

3 SEC USE ONLY  
4

CITIZENSHIP OR PLACE OF ORGANIZATION

New York

 

NUMBER OF
SHARES
BENEFICIALLY
OWNED
BY EACH
REPORTING
PERSON
WITH

5

SOLE VOTING POWER

0

6

SHARED VOTING POWER

316,723

7

SOLE DISPOSITIVE POWER

0

8

SHARED DISPOSITIVE POWER

316,723

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

316,723

 
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

1.2%

 
12

TYPE OF REPORTING PERSON

BD

 

 

 

 

 

CUSIP No. 40749M103 SCHEDULE 13G Page 4 of 11

 

1

NAME OF REPORTING PERSON OR

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

Cantor Fitzgerald, L.P.

 
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)

(b)

3 SEC USE ONLY  
4

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

 

NUMBER OF
SHARES
BENEFICIALLY
OWNED
BY EACH
REPORTING
PERSON
WITH

5

SOLE VOTING POWER

0

6

SHARED VOTING POWER

1,525,598

7

SOLE DISPOSITIVE POWER

0

8

SHARED DISPOSITIVE POWER

1,525,598

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

1,525,598

 
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

5.5%

 
12

TYPE OF REPORTING PERSON

PN

 

 

 

 

 

CUSIP No. 40749M103 SCHEDULE 13G Page 5 of 11

 

1

NAME OF REPORTING PERSON OR

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

CF Group Management, Inc.

 
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ¨

(b) ¨

3 SEC USE ONLY  
4

CITIZENSHIP OR PLACE OF ORGANIZATION

New York

 

NUMBER OF
SHARES
BENEFICIALLY
OWNED
BY EACH
REPORTING
PERSON
WITH

5

SOLE VOTING POWER

0

6

SHARED VOTING POWER

1,525,598

7

SOLE DISPOSITIVE POWER

0

8

SHARED DISPOSITIVE POWER

1,525,598

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

1,525,598

 
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

5.5%

 
12

TYPE OF REPORTING PERSON

CO

 

 

 

 

 

CUSIP No. 40749M103 SCHEDULE 13G Page 6 of 11

 

1

NAME OF REPORTING PERSON OR

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

Howard W. Lutnick

 
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)

(b)

3 SEC USE ONLY  
4

CITIZENSHIP OR PLACE OF ORGANIZATION

United States

 

NUMBER OF
SHARES
BENEFICIALLY
OWNED
BY EACH
REPORTING
PERSON
WITH

5

SOLE VOTING POWER

0

6

SHARED VOTING POWER

1,525,598

7

SOLE DISPOSITIVE POWER

0

8

SHARED DISPOSITIVE POWER

1,525,598

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

1,525,598

 
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

5.5%

 
12

TYPE OF REPORTING PERSON

IN

 

 

 

 

  

CUSIP No. 40749M103 SCHEDULE 13G Page 7 of 11

 

Item 1(a). Name of Issuer:
   
  Hamilton Lane Alliance Holdings I Inc.
   
Item 1(b). Address of Issuer’s Principal Executive Offices:
   
 

110 Washington Street, Suite 1300

 

Conshohocken, PA 19428

   
Item 2(a). Name of Person Filing:
   
 

Cantor Fitzgerald Securities, Cantor Fitzgerald & Co., Cantor Fitzgerald, L.P., CF Group Management, Inc. and Howard W. Lutnick (collectively, the “Reporting Persons”).

 

Item 2(b). Address of Principal Business Office or, if none, Residence:
   
 

110 East 59th Street

New York, New York 10022

 

Item 2(c). Citizenship:
   
  Each of Cantor Fitzgerald Securities and Cantor Fitzgerald & Co. is a general partnership formed in New York. Cantor Fitzgerald, L.P. is a Delaware limited partnership, CF Group Management, Inc. is a New York corporation and Mr. Lutnick is a citizen of the United States of America.
   
Item 2(d). Titles of Classes of Securities:
   
  Class A Common Stock, par value $0.0001 per share.
   
Item 2(e). CUSIP Number:
   
  40749M103

 

Item 3.

If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c),

Check Whether the Person Filing is a(n):

 

  (a) Broker or dealer registered under Section 15 of the Exchange Act (15 U.S.C. 78o).
  (b) Bank as defined in Section 3(a)(6) of the Exchange Act (15 U.S.C. 78c).
  (c) Insurance company as defined in Section 3(a)(19) of the Exchange Act (15 U.S.C. 78c).
  (d) Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
  (e) Investment adviser in accordance with §240.13d-1(b)(1)(ii)(E).
  (f) Employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F).
  (g) Parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G).
  (h) Savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813).
  (i) Church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3).
  (j) Non-U.S. institution, in accordance with § 240.13d-1(b)(1)(ii)(J).
  (k) Group in accordance with §240.13d-1(b)(1)(ii)(K).
       
  If filing as a non-U.S. institution in accordance with §240. 13d-1(b)(1)(ii)(J), please specify the type of institution: __________

 

 

 

 

CUSIP No. 40749M103 SCHEDULE 13G Page 8 of 11

 

Item 4. Ownership
 

 

The responses to Items 5-11 of the cover pages of this Schedule 13G are incorporated herein by reference.

 

As of January 20, 2022, the Reporting Persons may be deemed to beneficially own an aggregate of 1,525,598 shares of Class A Common Stock, par value $0.0001 per share (“Common Stock”) of Hamilton Lane Alliance Holdings I Inc. (the “Issuer”), representing 5.5% of the Issuer’s outstanding Common Stock.

 

The percentage of the Common Stock held by the Reporting Persons is based on 27,600,000 shares of Common Stock outstanding as of October 28, 2021, as reported in the Issuer’s Form 10-Q/A for the quarter ended September 30, 2021 filed with the Securities and Exchange Commission on December 17, 2021.

 

Cantor Fitzgerald Securities ("CFS") and Cantor Fitzgerald & Co. ("CF&CO") are each the record holder of certain of the securities reported herein. CFS owns 1,208,875 shares of Common Stock and CF&CO owns 316,723 shares of Common Stock of the Issuer.

 

CF Group Management, Inc. (“CFGM”) is the managing general partner of Cantor Fitzgerald, L.P. ("Cantor") and directly or indirectly controls the managing general partners of CFS and CF&CO. Mr. Lutnick is Chairman and Chief Executive of CFGM and trustee of CFGM's sole stockholder. Cantor, indirectly, holds a majority of the ownership interests of each of CFS and CF&CO. As such, each of Cantor, CFGM and Mr. Lutnick may be deemed to have beneficial ownership of the securities directly held by CFS and CF&CO. Each such entity or person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly. 

 

 

 

 

CUSIP No. 40749M103 SCHEDULE 13G Page 9 of 11

 

Item 5. Ownership of Five Percent or Less of a Class.
   
  If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following ☐.
   
Item 6. Ownership of More than Five Percent on Behalf of Another Person.
   
  Not Applicable.
   
Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding

Company.

   
  Not Applicable.
   
Item 8. Identification and Classification of Members of the Group.
   
  Not Applicable.
   
Item 9. Notice of Dissolution of Group.
   
  Not Applicable.
   
Item 10. Certification.
   

By signing below the undersigned certifies that, to the best of his or its knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under § 240.14a-11.

 

 

 

  

CUSIP No. 40749M103 SCHEDULE 13G Page 10 of 11

 

SIGNATURE

 

After reasonable inquiry and to the best of my knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct.

 

Dated: January 27, 2022

 

  CANTOR FITRZGERALD SECURITIES
   
  By: /s/ Howard W. Lutnick
    Name: Howard W. Lutnick
    Title:   Chief Executive Officer
 

 

CANTOR FITZGERALD & CO.

   
  By: /s/ Howard W. Lutnick
    Name: Howard W. Lutnick
    Title:   Chief Executive Officer
 

 

CANTOR FITZGERALD, L.P.

   
  By: /s/ Howard W. Lutnick
    Name: Howard W. Lutnick
    Title:   Chief Executive Officer
 

 

CF GROUP MANAGEMENT, INC.

   
  By: /s/ Howard W. Lutnick
    Name: Howard W. Lutnick
    Title:   Chief Executive Officer
   
  By: /s/ Howard W. Lutnick
    Howard W. Lutnick

 

[Schedule 13G – Hamilton Lane Alliance Holdings I Inc. – January 2022]

 

 

 

  

CUSIP No. 40749M103 SCHEDULE 13G Page 11 of 11

 

Exhibit Index

 

Exhibit No.   Description
99.1   Joint Filing Agreement, dated as of January 27, 2022, by and among the Reporting Persons

  

 

  

EX-99.1 2 ea154446ex99-1_hamilton.htm JOINT FILING AGREEMENT, DATED AS OF JANUARY 27, 2022, BY AND AMONG THE REPORTING PERSONS

EXHIBIT 99.1

 

JOINT FILING AGREEMENT

 

Each of the undersigned hereby acknowledges and agrees, in compliance with the provisions of Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, that the Schedule 13G to which this Agreement is attached as an Exhibit, and any amendments thereto, will be filed with the Securities and Exchange Commission jointly on behalf of the undersigned. This Agreement may be executed in one or more counterparts.

 

Date: January 27, 2022

 

  CANTOR FITZGERALD SECURITIES
   
  By: /s/ Howard W. Lutnick
    Name: Howard W. Lutnick
    Title:   Chief Executive Officer
 

 

CANTOR FITZGERALD & CO.

   
  By: /s/ Howard W. Lutnick
    Name: Howard W. Lutnick
    Title:   Chief Executive Officer
 

 

CANTOR FITZGERALD, L.P.

   
  By: /s/ Howard W. Lutnick
    Name: Howard W. Lutnick
    Title:   Chief Executive Officer
 

 

CF GROUP MANAGEMENT, INC.

   
  By: /s/ Howard W. Lutnick
    Name: Howard W. Lutnick
    Title:   Chief Executive Officer
   
  By: /s/ Howard W. Lutnick
    Howard W. Lutnick.

  

[Schedule 13G – Hamilton Lane Alliance Holdings I Inc. – Joint Filing Agreement – January 2022]