Carter Todd J 4
4 · HOULIHAN LOKEY, INC. · Filed May 25, 2023
Insider Transaction Report
Form 4
Carter Todd J
Director
Transactions
- Award
CLASS B COMMON STOCK
2023-05-24+12,303→ 12,303 total→ CLASS A COMMON STOCK (12,303 underlying) - Deposit Into/Withdrawal From Voting Trust
CLASS B COMMON STOCK
2023-05-24−12,303→ 103,408 total(indirect: By Trust)→ CLASS A COMMON STOCK (12,303 underlying)
Footnotes (3)
- [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 May 24, 2023, the Issuer granted 12,303 shares of Class B Common Stock to the reporting person pursuant to its 2016 Incentive Award Plan, which vest in four equal annual installments following the grant date.
- [F3]Represents shares of Class B Common Stock deposited into the HL Voting Trust (the "Voting Trust"). The reporting person retains investment control and dispositive power over the shares deposited into the Voting Trust.