0001302215-20-000025.txt : 20200324 0001302215-20-000025.hdr.sgml : 20200324 20200324212445 ACCESSION NUMBER: 0001302215-20-000025 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200323 FILED AS OF DATE: 20200324 DATE AS OF CHANGE: 20200324 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: 20739824 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_158509946676969.xml FORM 4 X0306 4 2020-03-23 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 A COMMON STOCK 2020-03-23 4 C 0 9502 0 A 9502 D CLASS A COMMON STOCK 2020-03-23 4 S 0 9502 48.42 D 0 D CLASS A COMMON STOCK 2020-03-24 4 C 0 6931 0 A 6931 D CLASS A COMMON STOCK 2020-03-24 4 S 0 6931 49.26 D 0 D CLASS B COMMON STOCK 2020-03-23 4 C 0 9502 0 D CLASS A COMMON STOCK 9502.0 0 D CLASS B COMMON STOCK 2020-03-24 4 C 0 6913 0 D CLASS A COMMON STOCK 6931.0 0 D CLASS B COMMON STOCK CLASS A COMMON STOCK 931960.0 931960 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. Per share price reflects the weighted average price in a series of open market sales on March 23, 2020 at prices ranging from $48.00 per share to $49.43 per share. The reporting person undertakes to provide to Houlihan Lokey, Inc., and security holder of Houlihan Lokey, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range identified in this footnote. Per share price reflects the weighted average price in a series of open market sales on March 24, 2020 at prices ranging from $48.03 per share to $50.25 per share. The reporting person undertakes to provide to Houlihan Lokey, Inc., and security holder of Houlihan Lokey, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range identified in this footnote. 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 2020-03-24