0001433642-19-000060.txt : 20190515
0001433642-19-000060.hdr.sgml : 20190515
20190515072750
ACCESSION NUMBER: 0001433642-19-000060
CONFORMED SUBMISSION TYPE: 5
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190331
FILED AS OF DATE: 20190515
DATE AS OF CHANGE: 20190515
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Whittemore Laurence
CENTRAL INDEX KEY: 0001699000
FILING VALUES:
FORM TYPE: 5
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38021
FILM NUMBER: 19825071
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
5
1
wf-form5_155791965559019.xml
FORM 5
X0306
5
2019-03-31
0
0
0
0001433642
Hamilton Lane INC
HLNE
0001699000
Whittemore Laurence
C/O HAMILTON LANE INCORPORATED
ONE PRESIDENTIAL BLVD., 4TH FLOOR
BALA CYNWYD
PA
19004
0
0
1
0
Class B Common Stock
2018-09-01
5
G
0
181880
0
A
181880
D
Class B Units
2018-09-01
5
G
0
181880
0
A
Class A Common Stock
181880.0
181880
I
See footnote
On the transaction date, the reporting person received 181,880 shares of Class B common stock and 181,880 Class B Units as a distribution from the Initial Trust Under the Frederick B. Whittemore 2008 Children's Trust Agreement Dated November 25, 2008.
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.
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. ("HLA") 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 of HLA do not have an expiration date.
Held on behalf of the reporting person by HLA Investments, LLC.
The reporting person is a member of a group that beneficially owns more than 10% of the Issuer's Class A common stock.
/s/ Lydia Gavalis, attorney-in-fact
2019-05-15