SEXTON O GRIFFITH 4
4 · Hamilton Lane INC · Filed Nov 13, 2019
Insider Transaction Report
Form 4
SEXTON O GRIFFITH
Director10% Owner
Transactions
- Award
Class A Common Stock
2019-11-12+2,248→ 11,189 total
Holdings
- 566,233(indirect: See footnote)
Class B Common Stock
- 566,233(indirect: See footnote)
Class B Common Stock
- 566,233(indirect: By Trust)
Class B Units
→ Class A Common Stock (566,233 underlying) - 566,233(indirect: By Trust)
Class B Units
→ Class A Common Stock (566,233 underlying)
Footnotes (6)
- [F1]Represents the number of shares issued to the reporting person pursuant to an award of restricted stock under the Issuer's 2017 Equity Incentive Plan in consideration of the reporting person's service on the board of directors of the Issuer. The shares vest one year from the transaction date.
- [F2]The securities reported in this row are owned by The 2008 Sexton Des. Trust FBO Laura Sexton (the "Laura Sexton Trust"). Mr. Sexton and Mrs. Barbara Sexton serve as trustees of this trust.
- [F3]The securities reported in this row are owned by The 2008 Sexton Des. Trust FBO Matthew Sexton (the "Matthew Sexton Trust"). Mr. Sexton and Mrs. Barbara Sexton serve as trustees of this trust.
- [F4]Pursuant to an exchange agreement entered into at the time of and in connection with a reorganization incident to the Issuer's initial public offering, 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.
- [F5]The securities reported in this row are owned indirectly by the Laura Sexton Trust through HLA Investments, LLC. Mr. Sexton and Mrs. Barbara Sexton serve as trustees of this trust.
- [F6]The securities reported in this row are owned indirectly by the Matthew Sexton Trust through HLA Investments, LLC. Mr. Sexton and Mrs. Barbara Sexton serve as trustees of this trust.