0000899243-17-025152.txt : 20171101 0000899243-17-025152.hdr.sgml : 20171101 20171101195221 ACCESSION NUMBER: 0000899243-17-025152 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171030 FILED AS OF DATE: 20171101 DATE AS OF CHANGE: 20171101 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Adelson Scott Joseph CENTRAL INDEX KEY: 0001360042 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37537 FILM NUMBER: 171170377 MAIL ADDRESS: STREET 1: 1930 CENTURY PARK WEST CITY: LOS ANGELES STATE: CA ZIP: 90067 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HOULIHAN LOKEY, INC. CENTRAL INDEX KEY: 0001302215 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 952770395 FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: HOULIHAN LOKEY, INC. STREET 2: 10250 CONSTELLATION BLVD., 5TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90067 BUSINESS PHONE: 310.553.8871 MAIL ADDRESS: STREET 1: HOULIHAN LOKEY, INC. STREET 2: 10250 CONSTELLATION BLVD., 5TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90067 FORMER COMPANY: FORMER CONFORMED NAME: HOULIHAN LOKEY HOWARD & ZUKIN INC DATE OF NAME CHANGE: 20040902 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-10-30 0 0001302215 HOULIHAN LOKEY, INC. HLI 0001360042 Adelson Scott Joseph C/O HOULIHAN LOKEY, INC. 10250 CONSTELLATION BLVD., 5TH FLOOR LOS ANGELES CA 90067 1 1 0 0 CO-PRESIDENT CLASS A COMMON STOCK 2017-10-30 4 C 0 90683 0.00 A 90683 D CLASS A COMMON STOCK 2017-10-30 4 F 0 30094 41.28 D 60589 D CLASS A COMMON STOCK 2017-10-30 4 S 0 60589 41.625 D 0 D CLASS B COMMON STOCK 2017-10-30 4 C 0 90683 0.00 D CLASS A COMMON STOCK 90683 0 D CLASS B COMMON STOCK CLASS A COMMON STOCK 957987 957987 I BY HL VOTING TRUST Represents Class A Common Stock received upon conversion of Class B Common Stock. Per share price reflects the public offering price of $42.00 per share less the underwriters' discount. 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 Dates (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. The shares are held through the HL Voting Trust. The reporting person retains investment control and dispositive power over such shares. /s/ J. Lindsey Alley, Attorney-in-Fact for Scott J. Adelson 2017-11-01