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HLI

HOULIHAN LOKEY, INC.

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3553
SEC CIK
0001302215
Parsed reports
381

Last 12 months

Inside the activity.

1 purchase rows · 5 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202601
Feb 202601
Mar 202600
Apr 202601
May 202601
Jun 202600
Jul 202600
Aug 202610
Sep 202601
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
March 31, 2020 Filed Mar 31, 2020 21:47 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
ConversionCLASS B COMMON STOCK · Derivative 27,415 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000048 · wf-form4_158569124864206.xml · derivative · entry 3

GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: CLASS A COMMON STOCK · 27,415 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
March 31, 2020 Filed Mar 31, 2020 21:47 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
SaleCLASS A COMMON STOCK 27,415 $49.82 $1,365,815.30
Disclosure

SEC source: 0001302215-20-000048 · wf-form4_158569124864206.xml · nonDerivative · entry 2

GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · price: Per share price reflects the weighted average price in a series of open market sales on March 31, 2020 at prices ranging from $49.03 per share to $50.06 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.

Read SEC document
March 31, 2020 Filed Mar 31, 2020 21:47 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
ConversionCLASS A COMMON STOCK 27,415 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000048 · wf-form4_158569124864206.xml · nonDerivative · entry 1

GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,415

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: 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.

Read SEC document
March 31, 2020 Filed Mar 31, 2020 17:52 UTC
PREISER DAVID ADirector · CO-PRESIDENT
ConversionCLASS B COMMON STOCK · Derivative 6,600 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000054 · wf-form4_158569154630004.xml · derivative · entry 3

PREISER DAVID A · CIK 0001122670 · Director · CO-PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: CLASS A COMMON STOCK · 6,600 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
March 31, 2020 Filed Mar 31, 2020 17:52 UTC
PREISER DAVID ADirector · CO-PRESIDENT
SaleCLASS A COMMON STOCK 6,600 $48.04 $317,064.00
Disclosure

SEC source: 0001302215-20-000054 · wf-form4_158569154630004.xml · nonDerivative · entry 2

PREISER DAVID A · CIK 0001122670 · Director · CO-PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · price: Per share price reflects the weighted average price in a series of open market sales on March 31, 2020 at prices ranging from $48.00 per share to $48.77 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.

Read SEC document
March 31, 2020 Filed Mar 31, 2020 17:52 UTC
PREISER DAVID ADirector · CO-PRESIDENT
ConversionCLASS A COMMON STOCK 6,600 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000054 · wf-form4_158569154630004.xml · nonDerivative · entry 1

PREISER DAVID A · CIK 0001122670 · Director · CO-PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,600

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: 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.

Read SEC document
March 31, 2020 Filed Mar 31, 2020 21:49 UTC
BEISER SCOTT LDirector · CHIEF EXECUTIVE OFFICER · 10% owner
ConversionCLASS B COMMON STOCK · Derivative 8,751 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000050 · wf-form4_158569134945757.xml · derivative · entry 3

BEISER SCOTT L · CIK 0001649212 · Director · CHIEF EXECUTIVE OFFICER · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: CLASS A COMMON STOCK · 8,751 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
March 31, 2020 Filed Mar 31, 2020 21:49 UTC
BEISER SCOTT LDirector · CHIEF EXECUTIVE OFFICER · 10% owner
SaleCLASS A COMMON STOCK 8,751 $48.04 $420,398.04
Disclosure

SEC source: 0001302215-20-000050 · wf-form4_158569134945757.xml · nonDerivative · entry 2

BEISER SCOTT L · CIK 0001649212 · Director · CHIEF EXECUTIVE OFFICER · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · price: Per share price reflects the weighted average price in a series of open market sales on March 31, 2020 at prices ranging from $48.00 per share to $48.77 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.

Read SEC document
March 31, 2020 Filed Mar 31, 2020 21:49 UTC
BEISER SCOTT LDirector · CHIEF EXECUTIVE OFFICER · 10% owner
ConversionCLASS A COMMON STOCK 8,751 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000050 · wf-form4_158569134945757.xml · nonDerivative · entry 1

BEISER SCOTT L · CIK 0001649212 · Director · CHIEF EXECUTIVE OFFICER · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,751

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: 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.

Read SEC document
March 31, 2020 Filed Mar 31, 2020 21:51 UTC
Adelson Scott JosephDirector · CO-PRESIDENT
ConversionCLASS B COMMON STOCK · Derivative 17,545 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000052 · wf-form4_158569144994616.xml · derivative · entry 3

Adelson Scott Joseph · CIK 0001360042 · Director · CO-PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: CLASS A COMMON STOCK · 17,545 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
March 31, 2020 Filed Mar 31, 2020 21:51 UTC
Adelson Scott JosephDirector · CO-PRESIDENT
SaleCLASS A COMMON STOCK 17,545 $48.04 $842,861.80
Disclosure

SEC source: 0001302215-20-000052 · wf-form4_158569144994616.xml · nonDerivative · entry 2

Adelson Scott Joseph · CIK 0001360042 · Director · CO-PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · price: Per share price reflects the weighted average price in a series of open market sales on March 31, 2020 at prices ranging from $48.00 per share to $48.77 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.

Read SEC document
March 31, 2020 Filed Mar 31, 2020 21:51 UTC
Adelson Scott JosephDirector · CO-PRESIDENT
ConversionCLASS A COMMON STOCK 17,545 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000052 · wf-form4_158569144994616.xml · nonDerivative · entry 1

Adelson Scott Joseph · CIK 0001360042 · Director · CO-PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,545

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: 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.

Read SEC document
March 30, 2020 Filed Mar 30, 2020 23:17 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
ConversionCLASS B COMMON STOCK · Derivative 41,617 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000040 · wf-form4_158561023978539.xml · derivative · entry 6

GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: CLASS A COMMON STOCK · 41,617 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
March 30, 2020 Filed Mar 30, 2020 23:17 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
SaleCLASS A COMMON STOCK 41,617 $48.01 $1,998,032.17
Disclosure

SEC source: 0001302215-20-000040 · wf-form4_158561023978539.xml · nonDerivative · entry 4

GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F3 · price: Per share price reflects the weighted average price in a series of open market sales on March 30, 2020 at prices ranging from $48.00 per share to $48.20 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.

Read SEC document
March 30, 2020 Filed Mar 30, 2020 23:17 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
ConversionCLASS A COMMON STOCK 41,617 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000040 · wf-form4_158561023978539.xml · nonDerivative · entry 3

GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,617

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: 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.

Read SEC document
March 30, 2020 Filed Mar 30, 2020 19:55 UTC
PREISER DAVID ADirector · CO-PRESIDENT
ConversionCLASS B COMMON STOCK · Derivative 10,020 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000046 · wf-form4_158561249769986.xml · derivative · entry 6

PREISER DAVID A · CIK 0001122670 · Director · CO-PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: CLASS A COMMON STOCK · 10,020 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
March 30, 2020 Filed Mar 30, 2020 19:55 UTC
PREISER DAVID ADirector · CO-PRESIDENT
SaleCLASS A COMMON STOCK 10,020 $48.01 $481,060.20
Disclosure

SEC source: 0001302215-20-000046 · wf-form4_158561249769986.xml · nonDerivative · entry 4

PREISER DAVID A · CIK 0001122670 · Director · CO-PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F3 · price: Per share price reflects the weighted average price in a series of open market sales on March 30, 2020 at prices ranging from $48.00 per share to $48.20 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.

Read SEC document
March 30, 2020 Filed Mar 30, 2020 19:55 UTC
PREISER DAVID ADirector · CO-PRESIDENT
ConversionCLASS A COMMON STOCK 10,020 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000046 · wf-form4_158561249769986.xml · nonDerivative · entry 3

PREISER DAVID A · CIK 0001122670 · Director · CO-PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,020

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: 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.

Read SEC document
March 30, 2020 Filed Mar 30, 2020 23:23 UTC
BEISER SCOTT LDirector · CHIEF EXECUTIVE OFFICER · 10% owner
ConversionCLASS B COMMON STOCK · Derivative 13,286 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000042 · wf-form4_158561059135759.xml · derivative · entry 6

BEISER SCOTT L · CIK 0001649212 · Director · CHIEF EXECUTIVE OFFICER · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: CLASS A COMMON STOCK · 13,286 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
March 30, 2020 Filed Mar 30, 2020 23:23 UTC
BEISER SCOTT LDirector · CHIEF EXECUTIVE OFFICER · 10% owner
SaleCLASS A COMMON STOCK 13,286 $48.01 $637,860.86
Disclosure

SEC source: 0001302215-20-000042 · wf-form4_158561059135759.xml · nonDerivative · entry 4

BEISER SCOTT L · CIK 0001649212 · Director · CHIEF EXECUTIVE OFFICER · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F3 · price: Per share price reflects the weighted average price in a series of open market sales on March 30, 2020 at prices ranging from $48.00 per share to $48.20 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.

Read SEC document
March 30, 2020 Filed Mar 30, 2020 23:23 UTC
BEISER SCOTT LDirector · CHIEF EXECUTIVE OFFICER · 10% owner
ConversionCLASS A COMMON STOCK 13,286 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000042 · wf-form4_158561059135759.xml · nonDerivative · entry 3

BEISER SCOTT L · CIK 0001649212 · Director · CHIEF EXECUTIVE OFFICER · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,286

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: 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.

Read SEC document
March 30, 2020 Filed Mar 30, 2020 23:25 UTC
Adelson Scott JosephDirector · CO-PRESIDENT
ConversionCLASS B COMMON STOCK · Derivative 26,635 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000044 · wf-form4_158561072375344.xml · derivative · entry 6

Adelson Scott Joseph · CIK 0001360042 · Director · CO-PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: CLASS A COMMON STOCK · 26,635 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
March 30, 2020 Filed Mar 30, 2020 23:25 UTC
Adelson Scott JosephDirector · CO-PRESIDENT
SaleCLASS A COMMON STOCK 26,635 $48.01 $1,278,746.35
Disclosure

SEC source: 0001302215-20-000044 · wf-form4_158561072375344.xml · nonDerivative · entry 4

Adelson Scott Joseph · CIK 0001360042 · Director · CO-PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F3 · price: Per share price reflects the weighted average price in a series of open market sales on March 30, 2020 at prices ranging from $48.00 per share to $48.20 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.

Read SEC document
March 30, 2020 Filed Mar 30, 2020 23:25 UTC
Adelson Scott JosephDirector · CO-PRESIDENT
ConversionCLASS A COMMON STOCK 26,635 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000044 · wf-form4_158561072375344.xml · nonDerivative · entry 3

Adelson Scott Joseph · CIK 0001360042 · Director · CO-PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,635

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: 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.

Read SEC document
March 27, 2020 Filed Mar 30, 2020 23:17 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
ConversionCLASS B COMMON STOCK · Derivative 1,577 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000040 · wf-form4_158561023978539.xml · derivative · entry 5

GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: CLASS A COMMON STOCK · 1,577 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
March 27, 2020 Filed Mar 30, 2020 23:17 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
SaleCLASS A COMMON STOCK 1,577 $48.31 $76,184.87
Disclosure

SEC source: 0001302215-20-000040 · wf-form4_158561023978539.xml · nonDerivative · entry 2

GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · price: Per share price reflects the weighted average price in a series of open market sales on March 27, 2020 at prices ranging from $48.00 per share to $48.45 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.

Read SEC document
March 27, 2020 Filed Mar 30, 2020 23:17 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
ConversionCLASS A COMMON STOCK 1,577 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000040 · wf-form4_158561023978539.xml · nonDerivative · entry 1

GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,577

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: 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.

Read SEC document
March 27, 2020 Filed Mar 30, 2020 19:55 UTC
PREISER DAVID ADirector · CO-PRESIDENT
ConversionCLASS B COMMON STOCK · Derivative 380 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000046 · wf-form4_158561249769986.xml · derivative · entry 5

PREISER DAVID A · CIK 0001122670 · Director · CO-PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: CLASS A COMMON STOCK · 380 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
March 27, 2020 Filed Mar 30, 2020 19:55 UTC
PREISER DAVID ADirector · CO-PRESIDENT
SaleCLASS A COMMON STOCK 380 $48.31 $18,357.80
Disclosure

SEC source: 0001302215-20-000046 · wf-form4_158561249769986.xml · nonDerivative · entry 2

PREISER DAVID A · CIK 0001122670 · Director · CO-PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · price: Per share price reflects the weighted average price in a series of open market sales on March 27, 2020 at prices ranging from $48.00 per share to $48.45 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.

Read SEC document
March 27, 2020 Filed Mar 30, 2020 19:55 UTC
PREISER DAVID ADirector · CO-PRESIDENT
ConversionCLASS A COMMON STOCK 380 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000046 · wf-form4_158561249769986.xml · nonDerivative · entry 1

PREISER DAVID A · CIK 0001122670 · Director · CO-PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 380

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: 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.

Read SEC document
March 27, 2020 Filed Mar 30, 2020 23:23 UTC
BEISER SCOTT LDirector · CHIEF EXECUTIVE OFFICER · 10% owner
ConversionCLASS B COMMON STOCK · Derivative 503 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000042 · wf-form4_158561059135759.xml · derivative · entry 5

BEISER SCOTT L · CIK 0001649212 · Director · CHIEF EXECUTIVE OFFICER · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: CLASS A COMMON STOCK · 503 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
March 27, 2020 Filed Mar 30, 2020 23:23 UTC
BEISER SCOTT LDirector · CHIEF EXECUTIVE OFFICER · 10% owner
SaleCLASS A COMMON STOCK 503 $48.31 $24,299.93
Disclosure

SEC source: 0001302215-20-000042 · wf-form4_158561059135759.xml · nonDerivative · entry 2

BEISER SCOTT L · CIK 0001649212 · Director · CHIEF EXECUTIVE OFFICER · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · price: Per share price reflects the weighted average price in a series of open market sales on March 27, 2020 at prices ranging from $48.00 per share to $48.45 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.

Read SEC document
March 27, 2020 Filed Mar 30, 2020 23:23 UTC
BEISER SCOTT LDirector · CHIEF EXECUTIVE OFFICER · 10% owner
ConversionCLASS A COMMON STOCK 503 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000042 · wf-form4_158561059135759.xml · nonDerivative · entry 1

BEISER SCOTT L · CIK 0001649212 · Director · CHIEF EXECUTIVE OFFICER · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 503

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: 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.

Read SEC document
March 27, 2020 Filed Mar 30, 2020 23:25 UTC
Adelson Scott JosephDirector · CO-PRESIDENT
ConversionCLASS B COMMON STOCK · Derivative 1,009 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000044 · wf-form4_158561072375344.xml · derivative · entry 5

Adelson Scott Joseph · CIK 0001360042 · Director · CO-PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: CLASS A COMMON STOCK · 1,009 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
March 27, 2020 Filed Mar 30, 2020 23:25 UTC
Adelson Scott JosephDirector · CO-PRESIDENT
SaleCLASS A COMMON STOCK 1,009 $48.31 $48,744.79
Disclosure

SEC source: 0001302215-20-000044 · wf-form4_158561072375344.xml · nonDerivative · entry 2

Adelson Scott Joseph · CIK 0001360042 · Director · CO-PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · price: Per share price reflects the weighted average price in a series of open market sales on March 27, 2020 at prices ranging from $48.00 per share to $48.45 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.

Read SEC document
March 27, 2020 Filed Mar 30, 2020 23:25 UTC
Adelson Scott JosephDirector · CO-PRESIDENT
ConversionCLASS A COMMON STOCK 1,009 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000044 · wf-form4_158561072375344.xml · nonDerivative · entry 1

Adelson Scott Joseph · CIK 0001360042 · Director · CO-PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,009

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: 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.

Read SEC document
March 26, 2020 Filed Mar 27, 2020 12:43 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
ConversionCLASS B COMMON STOCK · Derivative 723 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000032 · wf-form4_158531301431592.xml · derivative · entry 6

GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: CLASS A COMMON STOCK · 723 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
March 26, 2020 Filed Mar 27, 2020 12:43 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
SaleCLASS A COMMON STOCK 723 $48.03 $34,725.69
Disclosure

SEC source: 0001302215-20-000032 · wf-form4_158531301431592.xml · nonDerivative · entry 4

GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F3 · price: Per share price reflects the weighted average price in a series of open market sales on March 26, 2020 at prices ranging from $48.01 per share to $48.09 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.

Read SEC document
March 26, 2020 Filed Mar 27, 2020 12:43 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
ConversionCLASS A COMMON STOCK 723 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000032 · wf-form4_158531301431592.xml · nonDerivative · entry 3

GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 723

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: 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.

Read SEC document
March 26, 2020 Filed Mar 27, 2020 08:51 UTC
PREISER DAVID ADirector · CO-PRESIDENT
ConversionCLASS B COMMON STOCK · Derivative 174 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000038 · wf-form4_158531344330327.xml · derivative · entry 6

PREISER DAVID A · CIK 0001122670 · Director · CO-PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: CLASS A COMMON STOCK · 174 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
March 26, 2020 Filed Mar 27, 2020 08:51 UTC
PREISER DAVID ADirector · CO-PRESIDENT
SaleCLASS A COMMON STOCK 174 $48.03 $8,357.22
Disclosure

SEC source: 0001302215-20-000038 · wf-form4_158531344330327.xml · nonDerivative · entry 4

PREISER DAVID A · CIK 0001122670 · Director · CO-PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F3 · price: Per share price reflects the weighted average price in a series of open market sales on March 26, 2020 at prices ranging from $48.01 per share to $48.09 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.

Read SEC document
March 26, 2020 Filed Mar 27, 2020 08:51 UTC
PREISER DAVID ADirector · CO-PRESIDENT
ConversionCLASS A COMMON STOCK 174 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000038 · wf-form4_158531344330327.xml · nonDerivative · entry 3

PREISER DAVID A · CIK 0001122670 · Director · CO-PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 174

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: 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.

Read SEC document
March 26, 2020 Filed Mar 27, 2020 12:46 UTC
BEISER SCOTT LDirector · CHIEF EXECUTIVE OFFICER · 10% owner
ConversionCLASS B COMMON STOCK · Derivative 231 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000034 · wf-form4_158531316250550.xml · derivative · entry 6

BEISER SCOTT L · CIK 0001649212 · Director · CHIEF EXECUTIVE OFFICER · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: CLASS A COMMON STOCK · 231 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

Read SEC document
March 26, 2020 Filed Mar 27, 2020 12:46 UTC
BEISER SCOTT LDirector · CHIEF EXECUTIVE OFFICER · 10% owner
SaleCLASS A COMMON STOCK 231 $48.03 $11,094.93
Disclosure

SEC source: 0001302215-20-000034 · wf-form4_158531316250550.xml · nonDerivative · entry 4

BEISER SCOTT L · CIK 0001649212 · Director · CHIEF EXECUTIVE OFFICER · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F3 · price: Per share price reflects the weighted average price in a series of open market sales on March 26, 2020 at prices ranging from $48.01 per share to $48.09 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.

Read SEC document
March 26, 2020 Filed Mar 27, 2020 12:46 UTC
BEISER SCOTT LDirector · CHIEF EXECUTIVE OFFICER · 10% owner
ConversionCLASS A COMMON STOCK 231 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000034 · wf-form4_158531316250550.xml · nonDerivative · entry 3

BEISER SCOTT L · CIK 0001649212 · Director · CHIEF EXECUTIVE OFFICER · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 231

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 26, 2020 Filed Mar 27, 2020 12:48 UTC
Adelson Scott JosephDirector · CO-PRESIDENT
ConversionCLASS B COMMON STOCK · Derivative 463 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000036 · wf-form4_158531331951222.xml · derivative · entry 6

Adelson Scott Joseph · CIK 0001360042 · Director · CO-PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: CLASS A COMMON STOCK · 463 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

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March 26, 2020 Filed Mar 27, 2020 12:48 UTC
Adelson Scott JosephDirector · CO-PRESIDENT
SaleCLASS A COMMON STOCK 463 $48.03 $22,237.89
Disclosure

SEC source: 0001302215-20-000036 · wf-form4_158531331951222.xml · nonDerivative · entry 4

Adelson Scott Joseph · CIK 0001360042 · Director · CO-PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F3 · price: Per share price reflects the weighted average price in a series of open market sales on March 26, 2020 at prices ranging from $48.01 per share to $48.09 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.

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March 26, 2020 Filed Mar 27, 2020 12:48 UTC
Adelson Scott JosephDirector · CO-PRESIDENT
ConversionCLASS A COMMON STOCK 463 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000036 · wf-form4_158531331951222.xml · nonDerivative · entry 3

Adelson Scott Joseph · CIK 0001360042 · Director · CO-PRESIDENT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 463

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: 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.

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March 25, 2020 Filed Mar 27, 2020 12:43 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
ConversionCLASS B COMMON STOCK · Derivative 2,317 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000032 · wf-form4_158531301431592.xml · derivative · entry 5

GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: CLASS A COMMON STOCK · 2,317 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

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March 25, 2020 Filed Mar 27, 2020 12:43 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
SaleCLASS A COMMON STOCK 2,317 $48.07 $111,378.19
Disclosure

SEC source: 0001302215-20-000032 · wf-form4_158531301431592.xml · nonDerivative · entry 2

GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · price: Per share price reflects the weighted average price in a series of open market sales on March 25, 2020 at prices ranging from $48.00 per share to $48.40 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.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.