0001433642-23-000092.txt : 20230919
0001433642-23-000092.hdr.sgml : 20230919
20230919160834
ACCESSION NUMBER: 0001433642-23-000092
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230916
FILED AS OF DATE: 20230919
DATE AS OF CHANGE: 20230919
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: 231263787
MAIL ADDRESS:
STREET 1: 110 WASHINGTON STREET
STREET 2: SUITE 1300
CITY: CONSHOHOCKEN
STATE: PA
ZIP: 19428
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: 110 WASHINGTON STREET
STREET 2: SUITE 1300
CITY: CONSHOHOCKEN
STATE: PA
ZIP: 19428
BUSINESS PHONE: (610) 934-2222
MAIL ADDRESS:
STREET 1: 110 WASHINGTON STREET
STREET 2: SUITE 1300
CITY: CONSHOHOCKEN
STATE: PA
ZIP: 19428
4
1
wk-form4_1695154103.xml
FORM 4
X0508
4
2023-09-16
0
0001433642
Hamilton Lane INC
HLNE
0001338580
SEXTON O GRIFFITH
C/O HAMILTON LANE INCORPORATED
110 WASHINGTON STREET, SUITE 1300
CONSHOHOCKEN
PA
19428
1
0
1
0
0
Class A Common Stock
2023-09-16
4
A
0
2184
A
19598
D
Class B Common Stock
366233
I
See footnote
Class B Common Stock
366233
I
See footnote
Class B Units
Class A Common Stock
366233
366233
I
By the 2008 Sexton DES. Trust FBO Laura Sexton
Class B Units
Class A Common Stock
366233
366233
I
By the 2008 Sexton Des. Trust FBO Matthew Sexton
Represents the number of shares issued to the reporting person pursuant to an award of restricted stock under the Issuer's Amended and Restated 2017 Equity Incentive Plan in consideration of the reporting person's service on the board of directors of the Issuer. The shares vest one year from the transaction date.
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 2008 Sexton Des. Trust FBO Laura Sexton (the "Laura Sexton Trust"). Mr. Sexton serves as trustee of this trust.
The securities reported in this row are owned by The 2008 Sexton Des. Trust FBO Matthew Sexton (the "Matthew Sexton Trust"). Mr. Sexton serves as trustee of this trust.
Pursuant to an Exchange Agreement entered into in connection with a reorganization incident to the Issuer's initial public offering, 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 serves as trustee of this trust.
The securities reported in this row are owned indirectly by the Matthew Sexton Trust through HLA Investments, LLC. Mr. Sexton serves as trustee of this trust.
In addition to serving as a director of the Issuer, Mr. Sexton is a member of a group that beneficially owns more than 10% of the Issuer's Class A common stock.
/s/ Lauren Platko, attorney-in-fact
2023-09-19