Accession Number: | 0001302215-20-000095 |
Date: | 2020-05-28 |
Issuer: | HOULIHAN LOKEY, INC. (HLI) |
Original Submission Date: |
CRAIN CHRISTOPHER M
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 |
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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 |
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CLASS B COMMON STOCK | 0.0 | 2020-05-28 | deemed execution date | A | 1,800 (a) | class a common stock 1,800 | $0.00 | 1,800 | direct | |||
CLASS B COMMON STOCK | 0.0 | 2020-05-28 | deemed execution date | Z | 1,800 (d) | class a common stock 1,800 | $0.00 | 51,588 | 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 | on may 28, 2020 the issuer granted 1,800 shares of class b common stock to the reporting person pursuant to its 2016 incentive award plan, which vest in four equal annual installments following the grant date. |
f3 | the shares are held by the hl voting trust (the "voting trust"). the reporting person retains investment control and dispositive power over the shares deposited into the voting trust. |