0001698450-17-000011.txt : 20170308
0001698450-17-000011.hdr.sgml : 20170308
20170308165336
ACCESSION NUMBER: 0001698450-17-000011
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170306
FILED AS OF DATE: 20170308
DATE AS OF CHANGE: 20170308
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Delgado-Moreira Juan
CENTRAL INDEX KEY: 0001698040
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38021
FILM NUMBER: 17675697
MAIL ADDRESS:
STREET 1: ONE PRESIDENTIAL BOULEVARD
STREET 2: 4TH FLOOR
CITY: BALA CYNWYD
STATE: PA
ZIP: 19004
4
1
wf-form4_148901000277648.xml
FORM 4
X0306
4
2017-03-06
0
0001433642
Hamilton Lane INC
HLNE
0001698040
Delgado-Moreira Juan
C/O HAMILTON LANE INCORPORATED
ONE PRESIDENTIAL BLVD., 4TH FLOOR
BALA CYNWYD
PA
19004
0
1
1
0
Managing Director
Class A Common Stock
2017-03-06
4
J
0
1550965
A
1550965
D
Class A Common Stock
2017-03-06
4
P
0
2800
16
A
1553765
D
Restricted Class A Common Stock
2017-03-06
4
J
0
77868
A
1628833
D
Employee Stock Option (right to buy)
1.34
2017-03-06
4
J
0
233495
A
2017-03-06
2017-06-01
Class A Common Stock
233495.0
233495
D
In the reorganization (the "Reorganization") of Hamilton Lane Advisors, L.L.C. ("HLA") in connection with the Issuer's initial public offering (the "IPO"), the reporting person exchanged membership interests of HLA owned prior to the IPO for Class A Common Stock of the Issuer.
Purchase of shares in Issuer's directed share program in connection with its initial public offering.
Represents the number of shares issued to the reporting person pursuant to an award of restricted stock under the Issuer's 2017 Equity Incentive Plan. The award was issued in substitution for existing awards of restricted interests in HLA that were issued annually in the years prior to the IPO, and the new award vests according to the same vesting schedule as the replaced awards: in four equal annual installments each March. Accordingly, one tranche will vest in 2017, one in 2018, one in 2019 and one in 2020.
These options were granted under the Issuer's 2017 Equity Incentive Plan in substitution for outstanding options to purchase non-voting interests of HLA that were issued in 2007, prior to the IPO. The options being replaced were fully vested, and so the substitute award is fully vested.
In addition to serving as an officer of the Issuer, Mr. Delgado-Moreira 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
2017-03-08