0001433642-20-000074.txt : 20200609 0001433642-20-000074.hdr.sgml : 20200609 20200609164620 ACCESSION NUMBER: 0001433642-20-000074 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200605 FILED AS OF DATE: 20200609 DATE AS OF CHANGE: 20200609 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: 2008 Sexton Des. Trust FBO Laura Sexton CENTRAL INDEX KEY: 0001698725 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38021 FILM NUMBER: 20952487 BUSINESS ADDRESS: STREET 1: ONE PRESIDENTIAL BOULEVARD, 4TH FLOOR CITY: BALA CYNWYD STATE: PA ZIP: 19004 BUSINESS PHONE: 610-934-2222 MAIL ADDRESS: STREET 1: ONE PRESIDENTIAL BOULEVARD, 4TH FLOOR CITY: BALA CYNWYD STATE: PA ZIP: 19004 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: 2008 Sexton Des. Trust FBO Matthew Sexton CENTRAL INDEX KEY: 0001698728 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38021 FILM NUMBER: 20952488 BUSINESS ADDRESS: STREET 1: ONE PRESIDENTIAL BOULEVARD, 4TH FLOOR CITY: BALA CYNWYD STATE: PA ZIP: 19004 BUSINESS PHONE: 610-934-2222 MAIL ADDRESS: STREET 1: ONE PRESIDENTIAL BOULEVARD, 4TH FLOOR CITY: BALA CYNWYD STATE: PA ZIP: 19004 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SEXTON O GRIFFITH CENTRAL INDEX KEY: 0001338580 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38021 FILM NUMBER: 20952489 MAIL ADDRESS: STREET 1: C/O MORGAN STANLEY STREET 2: 1585 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10036 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sexton Barbara CENTRAL INDEX KEY: 0001699159 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38021 FILM NUMBER: 20952490 MAIL ADDRESS: STREET 1: ONE PRESIDENTIAL BOULEVARD STREET 2: 4TH FLOOR CITY: BALA CYNWYD STATE: PA ZIP: 19004 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Hamilton Lane INC CENTRAL INDEX KEY: 0001433642 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 262482738 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: ONE PRESIDENTIAL BOULEVARD STREET 2: 4TH FLOOR CITY: BALA CYNWYD STATE: PA ZIP: 19004 BUSINESS PHONE: (610) 934-2222 MAIL ADDRESS: STREET 1: ONE PRESIDENTIAL BOULEVARD STREET 2: 4TH FLOOR CITY: BALA CYNWYD STATE: PA ZIP: 19004 4 1 wf-form4_159173556270641.xml FORM 4 X0306 4 2020-06-05 0 0001433642 Hamilton Lane INC HLNE 0001699159 Sexton Barbara C/O HAMILTON LANE INCORPORATED ONE PRESIDENTIAL BLVD., 4TH FLOOR BALA CYNWYD PA 19004 0 0 1 0 0001338580 SEXTON O GRIFFITH C/O HAMILTON LANE INCORPORATED ONE PRESIDENTIAL BLVD., 4TH FLOOR BALA CYNWYD PA 19004 1 0 1 0 0001698728 2008 Sexton Des. Trust FBO Matthew Sexton C/O HAMILTON LANE INCORPORATED ONE PRESIDENTIAL BLVD., 4TH FLOOR BALA CYNWYD PA 19004 0 0 1 0 0001698725 2008 Sexton Des. Trust FBO Laura Sexton C/O HAMILTON LANE INCORPORATED ONE PRESIDENTIAL BLVD., 4TH FLOOR BALA CYNWYD PA 19004 0 0 1 0 Class B Common Stock 2020-06-05 4 J 0 50000 0.001 D 516233 D Class B Common Stock 2020-06-05 4 J 0 50000 0.001 D 516233 D Class A Common Stock 11189 D Class B Units 2020-06-05 4 J 0 50000 70.09 D Class A Common Stock 50000.0 516233 I By the 2008 Sexton Des. Trust FBO Laura Sexton Class B Units 2020-06-05 4 J 0 50000 70.09 D Class A Common Stock 50000.0 516233 I By the 2008 Sexton Des. Trust FBO Matthew Sexton The 2008 Sexton Des. Trust FBO Laura Sexton (the "Laura Sexton Trust") and The 2008 Sexton Des. Trust FBO Matthew Sexton (the "Matthew Sexton Trust") each exchanged Class B Units (and corresponding shares of Class B common stock) with the Issuer pursuant to an exchange agreement (the "Exchange Agreement") entered into at the time of and in connection with a reorganization incident to the Issuer's initial public offering. At the Issuer's election, each exchange was settled in cash. The Class B common stock does not carry economic value beyond the right to receive the par value of such stock upon liquidation, dissolution or exchange of those shares. However, the Class B common stock entitles its holder to ten votes per share on every matter submitted to the Issuer's stockholders for a vote. The securities reported in this row are owned by the Laura Sexton Trust. Mr. Sexton and Mrs. Barbara Sexton serve as trustees of this trust. The securities reported in this row are owned by the Matthew Sexton Trust. Mr. Sexton and Mrs. Barbara Sexton serve as trustees of this trust. The securities reported in this row are owned directly by Mr. Sexton. Pursuant to the Exchange Agreement, the Class B Units of Hamilton Lane Advisors, L.L.C. are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units do not have an expiration date. The securities reported in this row are owned indirectly by the Laura Sexton Trust through HLA Investments, LLC. Mr. Sexton and Mrs. Barbara Sexton serve as trustees of this trust. The securities reported in this row are owned indirectly by the Matthew Sexton Trust through HLA Investments, LLC. Mr. Sexton and Mrs. Barbara Sexton serve as trustees of this trust. This Form is filed by (i) Mr. O. Griffith Sexton, (ii) Mrs. Barbara Sexton, (iii) the Laura Sexton Trust, and (iv) the Matthew Sexton Trust ((iii) and (iv) together, the "Trusts"). Mr. and Mrs. Sexton serve as trustees of each Trust. The Trusts are members of a group that beneficially owns more than 10% of the Issuer's Class A common stock. Mr. Sexton is also a director of the Issuer. /s/ Lydia Gavalis, attorney-in-fact 2020-06-09