0001433642-21-000060.txt : 20210316 0001433642-21-000060.hdr.sgml : 20210316 20210316165824 ACCESSION NUMBER: 0001433642-21-000060 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210314 FILED AS OF DATE: 20210316 DATE AS OF CHANGE: 20210316 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Donohue Michael T. CENTRAL INDEX KEY: 0001698304 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38021 FILM NUMBER: 21746678 MAIL ADDRESS: STREET 1: ONE PRESIDENTIAL BOULEVARD STREET 2: 4TH FLOOR CITY: BALA CYNWYD STATE: PA ZIP: 19004 FORMER NAME: FORMER CONFORMED NAME: Donohue Michael J. DATE OF NAME CHANGE: 20170216 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_161592828315229.xml FORM 4 X0306 4 2021-03-14 0 0001433642 Hamilton Lane INC HLNE 0001698304 Donohue Michael T. C/O HAMILTON LANE INCORPORATED ONE PRESIDENTIAL BLVD., 4TH FLOOR BALA CYNWYD PA 19004 0 1 1 0 Managing Director & Controller Class A Common Stock 2020-09-30 5 A 0 E 96 54.90 A 30022 D Class A Common Stock 2020-12-31 5 A 0 E 80 66.34 A 30102 D Class A Common Stock 2021-03-14 4 A 0 626 A 30728 D Class A Common Stock 2021-03-14 4 F 0 611 87.10 D 30117 D Class B Common Stock 26819 D Class B Units Class A Common Stock 26819.0 26819 I See footnote Class C Units Class A Common Stock 8204.0 8204 I See footnote These shares were acquired pursuant to the Issuer's Employee Share Purchase Plan in a transaction that was exempt under Rule 16b-3(d). Shares issued to the reporting person pursuant to an award of restricted stock under the Issuer's 2017 Equity Incentive Plan. The shares vest in four equal annual installments. Shares delivered to the issuer for the payment of withholding taxes due upon the vesting of previously granted restricted stock awards. 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 "Exchange Agreement"), the Class B Units and Class C 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 and Class C Units of HLA do not have an expiration date. Held on behalf of the reporting person by HL Management Investors, LLC. In addition to serving as an officer of the Issuer, the reporting person 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 2021-03-16