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