InsiderTrades

Form 4 for HLNE Hamilton Lane INC

Accepted 2021-09-14 00:00:00 ET · period of report 2021-09-10 · accession 0001433642-21-000129 · 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
DI 2021-09-14 2021-09-10 HLNE Rogers Hartley R. COB, Dir, 10% J - Other $0.00 -238.4K 7.30M -3% $0
DI 2021-09-14 2021-09-06 HLNE Rogers Hartley R. COB, Dir, 10% G - Gift $0.00 -250.0K 7.54M -3% $0
D 2021-09-14 2021-09-10 HLNE Rogers Hartley R. COB, Dir, 10% S - Sale $84.15 -11.5K 14.8K -44% -$966.6K
DI 2021-09-14 2021-09-10 HLNE Rogers Hartley R. COB, Dir, 10% J - Other $84.15 -238.4K 7.30M -3% -$20.06M
DI 2021-09-14 2021-09-06 HLNE Rogers Hartley R. COB, Dir, 10% G - Gift $0.00 -250.0K 7.54M -3% $0

Purchase Sale Sale after option exercise All abbreviations

Every reported transaction

#TableSecurityDateCodeA/DSharesPriceOwned afterOwnExercise / expiryUnderlyingFootnotes
1 Common Class B Common Stock 2021-09-10 J D 238,400 $0.00 7,300,667 I See footnote — — (F2) 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. (F3) These securities are owned directly by HLAI. Mr. Rogers is the manager of HRHLA, the managing member of HLAI.
2 Common Class B Common Stock 2021-09-06 G D 250,000 $0.00 7,539,067 I See footnote — — (F2) 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. (F3) These securities are owned directly by HLAI. Mr. Rogers is the manager of HRHLA, the managing member of HLAI.
3 Common Class A Common Stock 2021-09-10 S D 11,487 $84.15 14,772 D — —
4 Derivative Class B Units 2021-09-10 J D 238,400 $84.15 7,300,667 I See footnote — · — to — 238,400 Class A Common Stock (F3) These securities are owned directly by HLAI. Mr. Rogers is the manager of HRHLA, the managing member of HLAI. (F6) 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.
5 Derivative Class B Units 2021-09-06 G D 250,000 $0.00 7,539,067 I See footnote — · — to — 250,000 Class A Common Stock (F3) These securities are owned directly by HLAI. Mr. Rogers is the manager of HRHLA, the managing member of HLAI. (F6) 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.