Accession Number: | 0001302215-20-000105 |
Date: | 2020-06-17 |
Issuer: | HOULIHAN LOKEY, INC. (HLI) |
Original Submission Date: |
BEISER SCOTT L
C/O HOULIHAN LOKEY, INC.
10250 CONSTELLATION BLVD., 5TH FLOOR
LOS ANGELES, CA 90067
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
CLASS A COMMON STOCK | 2020-06-17 | C | 10,000 | a | $0.00 | 10,000 | direct | ||
CLASS A COMMON STOCK | 2020-06-17 | S | 10,000 | d | $60.19 | 0 | direct |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
---|---|---|---|---|---|---|---|---|---|---|---|---|
CLASS B COMMON STOCK | 0.0 | 2020-06-17 | deemed execution date | C | 10,000 (d) | class a common stock 10,000 | $0.00 | 0 | direct | |||
CLASS B COMMON STOCK | 0.0 | 2020-06-17 | deemed execution date | 0 ( ) | class a common stock 899,158 | $0.00 | 899,158 | indirect | by hl voting trust |
ID | footnote |
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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. |
f2 | per share price reflects the weighted average price in a series of open market sales on june 17, 2020 at prices ranging from $59.66 per share to $60.54 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. |
f3 | the reporting person is a trustee of the hl voting trust (the "voting trust"). the trustees of the voting trust have shared voting control over the shares deposited into the voting trust. the reporting person has a pecuniary interest in and investment control over the shares reported herein. |