0001302215-18-000010.txt : 20180521
0001302215-18-000010.hdr.sgml : 20180521
20180521214233
ACCESSION NUMBER: 0001302215-18-000010
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180515
FILED AS OF DATE: 20180521
DATE AS OF CHANGE: 20180521
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BEISER SCOTT L
CENTRAL INDEX KEY: 0001649212
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37537
FILM NUMBER: 18851200
MAIL ADDRESS:
STREET 1: C/O HOULIHAN LOKEY, INC.
STREET 2: 10250 CONSTELLATION BLVD., 5TH FL
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
wf-form4_152695329001817.xml
FORM 4
X0306
4
2018-05-15
0
0001302215
HOULIHAN LOKEY, INC.
HLI
0001649212
BEISER SCOTT L
C/O HOULIHAN LOKEY, INC.
10250 CONSTELLATION BLVD., 5TH FLOOR
LOS ANGELES
CA
90067
1
1
1
0
CHIEF EXECUTIVE OFFICER
CLASS B COMMON STOCK
2018-05-15
4
A
0
12945
0
A
CLASS A COMMON STOCK
12945.0
12945
D
CLASS B COMMON STOCK
2018-05-15
4
Z
0
12945
0
D
CLASS A COMMON STOCK
12945.0
1018155
I
BY HL VOTING TRUST
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.
On May 15, 2018, the Issuer granted 12,945 vested shares of Class B Common Stock to the reporting person pursuant to its 2016 Incentive Award Plan, which are subject to contractual restrictions on transfer which expire in four equal annual installments following the grant date.
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.
The reporting person is a trustee of the HL Voting Trust (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.
/s/ J. Lindsey Alley, Attorney-in-Fact for Scott L. Beiser
2018-05-21