0001302215-19-000036.txt : 20190517 0001302215-19-000036.hdr.sgml : 20190517 20190517210340 ACCESSION NUMBER: 0001302215-19-000036 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190515 FILED AS OF DATE: 20190517 DATE AS OF CHANGE: 20190517 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CRAIN CHRISTOPHER M CENTRAL INDEX KEY: 0001649160 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37537 FILM NUMBER: 19837431 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_155814140569404.xml FORM 4 X0306 4 2019-05-15 0 0001302215 HOULIHAN LOKEY, INC. HLI 0001649160 CRAIN CHRISTOPHER M C/O HOULIHAN LOKEY, INC. 10250 CONSTELLATION BLVD., 5TH FLOOR LOS ANGELES CA 90067 0 1 0 0 GENERAL COUNSEL CLASS B COMMON STOCK 2019-05-15 4 A 0 2389 0 A CLASS A COMMON STOCK 2389.0 2389 D CLASS B COMMON STOCK 2019-05-15 4 F 0 667 47.22 D CLASS A COMMON STOCK 667.0 1722 D CLASS B COMMON STOCK 2019-05-15 4 Z 0 1722 0 D CLASS A COMMON STOCK 1722.0 54750 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, 2019, the Issuer granted 2,389 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. Represents shares withheld to cover taxes upon the vesting of existing awards under the Issuer's 2016 Incentive Award Plan. 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. /s/ J. Lindsey Alley, Attorney-in-Fact for Christopher M. Crain 2019-05-17