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