Form 4 for HLNE Hamilton Lane INC
Accepted 2024-03-11 00:00:00 ET · period of report 2024-03-03 · accession 0001433642-24-000036 · 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 | 2024-03-11 | 2024-03-03 | HLNE | Rogers Hartley R. | Executive Co-COB, Dir, 10% | G - Gift | $0.00 | -30.1K | 7.27M | -0.4% | $0 |
| DI | 2024-03-11 | 2024-03-07 | HLNE | Rogers Hartley R. | Executive Co-COB, Dir, 10% | J - Other | $0.00 | -369.9K | 6.90M | -5% | $0 |
| DI | 2024-03-11 | 2024-03-07 | HLNE | Rogers Hartley R. | Executive Co-COB, Dir, 10% | J - Other | $108.00 | -369.9K | 6.90M | -5% | -$39.94M |
| DI | 2024-03-11 | 2024-03-03 | HLNE | Rogers Hartley R. | Executive Co-COB, Dir, 10% | G - Gift | $0.00 | -30.1K | 7.27M | -0.4% | $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 B Common Stock | 2024-03-03 | G | D | 30,150 | $0.00 | 7,270,517 | 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 | 2024-03-07 | J | D | 369,850 | $0.00 | 6,900,667 | 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. |
| 3 | Derivative | Class B Units | 2024-03-07 | J | D | 369,850 | $108.00 | 6,900,667 | I See footnote | — · — to — | 369,850 Class A Common Stock | (F3) These securities are owned directly by HLAI. Mr. Rogers is the manager of HRHLA, the managing member of HLAI. (F5) Pursuant to the Exchange Agreement, the Class B Units of HLA 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. |
| 4 | Derivative | Class B Units | 2024-03-03 | G | D | 30,150 | $0.00 | 7,270,517 | I See footnote | — · — to — | 30,150 Class A Common Stock | (F3) These securities are owned directly by HLAI. Mr. Rogers is the manager of HRHLA, the managing member of HLAI. (F5) Pursuant to the Exchange Agreement, the Class B Units of HLA 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. |