Form 4 for HLI HOULIHAN LOKEY, INC.
Accepted 2022-11-25 00:00:00 ET · period of report 2022-11-22 · accession 0001302215-22-000084 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2022-11-25 | 2022-11-22+ | HLI | GOLD IRWIN | EXECUTIVE COB, Dir, 10% | C - Cnv Deriv | $0.00 | +15.0K | 815 | New | $0 |
| DM | 2022-11-25 | 2022-11-22+ | HLI | GOLD IRWIN | EXECUTIVE COB, Dir, 10% | S - Sale | $98.89 | -15.0K | 0 | -100% | -$1.48M |
| DM | 2022-11-25 | 2022-11-22+ | HLI | GOLD IRWIN | EXECUTIVE COB, Dir, 10% | C - Cnv Deriv | $0.00 | -15.0K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | CLASS A COMMON STOCK | 2022-11-25 | C | A | 5,000 | $0.00 | 5,000 | D | — | — | |
| 2 | Common | CLASS A COMMON STOCK | 2022-11-23 | S | D | 9,185 | $98.58 | 0 | D | — | — | (F3) Per share price reflects the weighted average price in a series of open market sales on November 23, 2022 at prices ranging from $98.50 per share to $98.80 per share. The reporting person undertakes to provide to Houlihan Lokey, Inc., and security holder of Houlihan Lokey, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range identified in this footnote. |
| 3 | Common | CLASS A COMMON STOCK | 2022-11-23 | C | A | 9,185 | $0.00 | 9,185 | D | — | — | |
| 4 | Common | CLASS A COMMON STOCK | 2022-11-22 | S | D | 815 | $98.52 | 0 | D | — | — | (F2) Per share price reflects the weighted average price in a series of open market sales on November 22, 2022 at prices ranging from $98.50 per share to $98.55 per share. The reporting person undertakes to provide to Houlihan Lokey, Inc., and security holder of Houlihan Lokey, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range identified in this footnote. |
| 5 | Common | CLASS A COMMON STOCK | 2022-11-22 | C | A | 815 | $0.00 | 815 | D | — | — | |
| 6 | Common | CLASS A COMMON STOCK | 2022-11-25 | S | D | 5,000 | $99.53 | 0 | D | — | — | (F4) Per share price reflects the weighted average price in a series of open market sales on November 25, 2022 at prices ranging from $99.31 per share to $100.12 per share. The reporting person undertakes to provide to Houlihan Lokey, Inc., and security holder of Houlihan Lokey, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range identified in this footnote. |
| 7 | Derivative | CLASS B COMMON STOCK | 2022-11-22 | C | D | 815 | $0.00 | 0 | D | — · — to — | 815 CLASS A COMMON STOCK | (F1) Class B common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Date (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610)) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. |
| 8 | Derivative | CLASS B COMMON STOCK | 2022-11-23 | C | D | 9,185 | $0.00 | 0 | D | — · — to — | 9,185 CLASS A COMMON STOCK | (F1) Class B common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Date (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610)) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. |
| 9 | Derivative | CLASS B COMMON STOCK | 2022-11-25 | C | D | 5,000 | $0.00 | 0 | D | — · — to — | 5,000 CLASS A COMMON STOCK | (F1) Class B common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Date (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610)) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. |