4//SEC Filing
HOULIHAN LOKEY, INC. 4
Accession 0001302215-16-000032
$HLICIK 0001302215operating
Filed
May 2, 8:00 PM ET
Accepted
May 3, 9:10 PM ET
Size
9.1 KB
Accession
0001302215-16-000032
Insider Transaction Report
Form 4
HOTZ ROBERT H
10% Owner
Transactions
- Other
CLASS B COMMON STOCK
2016-04-30+41,294→ 41,294 total→ CLASS A COMMON STOCK (41,294 underlying) - Deposit Into/Withdrawal From Voting Trust
CLASS B COMMON STOCK
2016-04-30−41,294(indirect: By Trust)Exercise: $0.00→ CLASS A COMMON STOCK (41,294 underlying)
Footnotes (4)
- [F1]Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Date (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date.
- [F2]On April 30, 2016, the Issuer granted 41,294 shares of Class B Common Stock to the reporting person for services as an employee pursuant to its 2016 Incentive Award Plan, which grant was approved by the compensation committee of the board of directors of the Issuer. The shares vest in four equal annual installments following the grant date. The reporting person is subject to Section 16 of the Securities Exchange Act of 1934, as amended, solely by virtue of his position as a trustee of the HL Voting Trust (the "Voting Trust").
- [F3]Represents shares of Class B Common Stock deposited into the Voting Trust. The reporting person retains investment control and dispositive power over the shares deposited into the Voting Trust.
- [F4]The reporting person is a trustee of the Voting Trust. The trustees of the Voting Trust have shared voting control over the shares deposited into the Voting Trust. The reporting person has a pecuniary interest in and investment control over the shares reported herein.
Documents
Issuer
HOULIHAN LOKEY, INC.
CIK 0001302215
Entity typeoperating
Related Parties
1- filerCIK 0001302215
Filing Metadata
- Form type
- 4
- Filed
- May 2, 8:00 PM ET
- Accepted
- May 3, 9:10 PM ET
- Size
- 9.1 KB