0001433642-22-000014.txt : 20220316 0001433642-22-000014.hdr.sgml : 20220316 20220316161908 ACCESSION NUMBER: 0001433642-22-000014 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220314 FILED AS OF DATE: 20220316 DATE AS OF CHANGE: 20220316 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rogers Hartley R. CENTRAL INDEX KEY: 0001577084 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38021 FILM NUMBER: 22745122 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 wf-form4_164746192767139.xml FORM 4 X0306 4 2022-03-14 0 0001433642 Hamilton Lane INC HLNE 0001577084 Rogers Hartley R. C/O HAMILTON LANE INCORPORATED 110 WASHINGTON STREET, SUITE 1300 CONSHOHOCKEN PA 19428 1 1 1 0 Chairman Class A Common Stock 2022-03-14 4 F 0 2801 75.78 D 11971 D Class B Common Stock 7300667 I See footnote Class B Units Class A Common Stock 7300667.0 7300667 I See footnote 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. These securities are owned directly by HLA Investments, LLC ("HLAI"). The reporting person is the manager of HRHLA, LLC ("HRHLA"), the managing member of HLAI. These securities are owned directly by HLAI. Mr. Rogers is the manager of HRHLA, the managing member of HLAI. 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. In addition to serving as an officer and director 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 2022-03-16