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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
May 24, 2023 Filed May 25, 2023 23:11 UTC GrantCLASS A COMMON STOCK 1,110 $0.00 $0.00
Disclosure

SEC source: 0001302215-23-000057 · wf-form4_168505629047851.xml · nonDerivative · entry 1

Zucker Gillian Beth · CIK 0001794578 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,240

Read SEC document
May 24, 2023 Filed May 25, 2023 23:09 UTC GrantCLASS A COMMON STOCK 1,013 $0.00 $0.00
Disclosure

SEC source: 0001302215-23-000052 · wf-form4_168505618018000.xml · nonDerivative · entry 1

Bassey Ekpedeme M · CIK 0001831152 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,325

Read SEC document
May 24, 2023 Filed May 25, 2023 23:08 UTC OtherCLASS B COMMON STOCK · Derivative 12,303 $0.00 $0.00
Disclosure

SEC source: 0001302215-23-000049 · wf-form4_168505612566074.xml · derivative · entry 2

Carter Todd J · CIK 0001679143 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By HL Voting Trust

Disclosed balance after: 103,408

Underlying: CLASS A COMMON STOCK · 12,303 shares

Expires not disclosed

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.

F3 · ownership.direct: Represents shares of Class B Common Stock deposited into the HL Voting Trust (the "Voting Trust"). The reporting person retains investment control and dispositive power over the shares deposited into the Voting Trust.

Read SEC document
May 24, 2023 Filed May 25, 2023 23:08 UTC GrantCLASS B COMMON STOCK · Derivative 12,303 $0.00 $0.00
Disclosure

SEC source: 0001302215-23-000049 · wf-form4_168505612566074.xml · derivative · entry 1

Carter Todd J · CIK 0001679143 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,303

Underlying: CLASS A COMMON STOCK · 12,303 shares

Expires not disclosed

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.

F2 · shares: On May 24, 2023, the Issuer granted 12,303 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.

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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May 24, 2023 Filed May 25, 2023 23:08 UTC
Adelson Scott JosephDirector · CO-PRESIDENT
OtherCLASS B COMMON STOCK · Derivative 13,593 $0.00 $0.00
Disclosure

SEC source: 0001302215-23-000047 · wf-form4_168505608676335.xml · derivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Indirect · BY HL VOTING TRUST

Disclosed balance after: 884,919

Underlying: CLASS A COMMON STOCK · 13,593 shares

Expires not disclosed

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.

F3 · ownership.direct: Represents shares of Class B Common Stock deposited into the HL Voting Trust (the "Voting Trust"). The reporting person retains investment control and dispositive power over the shares deposited into the Voting Trust.

Read SEC document
May 24, 2023 Filed May 25, 2023 23:08 UTC
Adelson Scott JosephDirector · CO-PRESIDENT
GrantCLASS B COMMON STOCK · Derivative 13,593 $0.00 $0.00
Disclosure

SEC source: 0001302215-23-000047 · wf-form4_168505608676335.xml · derivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,593

Underlying: CLASS A COMMON STOCK · 13,593 shares

Expires not disclosed

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.

F2 · shares: On May 24, 2023, the Issuer granted 13,593 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.

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
May 15, 2023 Filed May 17, 2023 20:38 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
Tax withholdingCLASS B COMMON STOCK · Derivative 7,009 $89.04 $624,081.36
Disclosure

SEC source: 0001302215-23-000021 · wf-form4_168435592039391.xml · derivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Indirect · BY HL VOTING TRUST

Disclosed balance after: 1,127,305

Underlying: CLASS A COMMON STOCK · 7,009 shares

Expires not disclosed

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.

F2 · shares: Represents shares withheld to cover taxes upon the vesting of existing awards under the Issuer's 2016 Incentive Award Plan.

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.

F3 · ownership.direct: 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.

Read SEC document
May 15, 2023 Filed May 17, 2023 16:40 UTC
PREISER DAVID ADirector · CO-PRESIDENT
Tax withholdingCLASS B COMMON STOCK · Derivative 4,467 $89.04 $397,741.68
Disclosure

SEC source: 0001302215-23-000024 · wf-form4_168435597424167.xml · derivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Indirect · BY HL VOTING TRUST

Disclosed balance after: 529,049

Underlying: CLASS A COMMON STOCK · 4,467 shares

Expires not disclosed

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.

F2 · shares: Represents shares withheld to cover taxes upon the vesting of existing awards under the Issuer's 2016 Incentive Award Plan.

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.

F3 · ownership.direct: 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.

Read SEC document
May 15, 2023 Filed May 17, 2023 20:40 UTC
CRAIN CHRISTOPHER MGENERAL COUNSEL
Tax withholdingCLASS B COMMON STOCK · Derivative 1,397 $89.04 $124,388.88
Disclosure

SEC source: 0001302215-23-000026 · wf-form4_168435602607919.xml · derivative · entry 1

CRAIN CHRISTOPHER M · CIK 0001649160 · GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Indirect · BY HL VOTING TRUST

Disclosed balance after: 56,583

Underlying: CLASS A COMMON STOCK · 1,397 shares

Expires not disclosed

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.

F2 · shares: Represents shares withheld to cover taxes upon the vesting of existing awards under the Issuer's 2016 Incentive Award Plan.

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.

F3 · ownership.direct: 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.

Read SEC document
May 15, 2023 Filed May 17, 2023 20:40 UTC
ALLEY J LINDSEYChief Financial Officer
Tax withholdingCLASS B COMMON STOCK · Derivative 2,125 $89.04 $189,210.00
Disclosure

SEC source: 0001302215-23-000025 · wf-form4_168435601240051.xml · derivative · entry 1

ALLEY J LINDSEY · CIK 0001649209 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · BY HL VOTING TRUST

Disclosed balance after: 82,225

Underlying: CLASS A COMMON STOCK · 2,125 shares

Expires not disclosed

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.

F2 · shares: Represents shares withheld to cover taxes upon the vesting of existing awards under the Issuer's 2016 Incentive Award Plan.

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.

F3 · ownership.direct: 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.

Read SEC document
May 15, 2023 Filed May 17, 2023 20:39 UTC
BEISER SCOTT LDirector · CHIEF EXECUTIVE OFFICER · 10% owner
Tax withholdingCLASS B COMMON STOCK · Derivative 8,936 $89.04 $795,661.44
Disclosure

SEC source: 0001302215-23-000022 · wf-form4_168435593849852.xml · derivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Indirect · BY HL VOTING TRUST

Disclosed balance after: 864,840

Underlying: CLASS A COMMON STOCK · 8,936 shares

Expires not disclosed

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.

F2 · shares: Represents shares withheld to cover taxes upon the vesting of existing awards under the Issuer's 2016 Incentive Award Plan.

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.

F3 · ownership.direct: 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.

Read SEC document
May 15, 2023 Filed May 17, 2023 20:41 UTC Tax withholdingCLASS B COMMON STOCK · Derivative 10,531 $89.04 $937,680.24
Disclosure

SEC source: 0001302215-23-000027 · wf-form4_168435604931563.xml · derivative · entry 1

Carter Todd J · CIK 0001679143 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By HL Voting Trust

Disclosed balance after: 91,105

Underlying: CLASS A COMMON STOCK · 10,531 shares

Expires not disclosed

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.

F2 · shares: Represents shares withheld to cover taxes upon the vesting of existing awards under the Issuer's 2016 Incentive Award Plan.

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.

F3 · ownership.direct: 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.

Read SEC document
May 15, 2023 Filed May 17, 2023 20:39 UTC
Adelson Scott JosephDirector · CO-PRESIDENT
Tax withholdingCLASS B COMMON STOCK · Derivative 19,364 $89.04 $1,724,170.56
Disclosure

SEC source: 0001302215-23-000023 · wf-form4_168435595645344.xml · derivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Indirect · BY HL VOTING TRUST

Disclosed balance after: 871,326

Underlying: CLASS A COMMON STOCK · 19,364 shares

Expires not disclosed

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.

F2 · shares: Represents shares withheld to cover taxes upon the vesting of existing awards under the Issuer's 2016 Incentive Award Plan.

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.

F3 · ownership.direct: 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.

Read SEC document
February 28, 2023 Filed Mar 1, 2023 21:13 UTC
BEISER SCOTT LDirector · CHIEF EXECUTIVE OFFICER · 10% owner
ConversionCLASS B COMMON STOCK · Derivative 10,000 $0.00 $0.00
Disclosure

SEC source: 0001302215-23-000010 · wf-form4_167770517450752.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 · 10,000 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
February 28, 2023 Filed Mar 1, 2023 21:13 UTC
BEISER SCOTT LDirector · CHIEF EXECUTIVE OFFICER · 10% owner
GiftCLASS A COMMON STOCK 10,000 $0.00 $0.00
Disclosure

SEC source: 0001302215-23-000010 · wf-form4_167770517450752.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 · shares: On February 28, 2023, the reporting person made a charitable donation of 10,000 shares of Class B Common Stock. No value was received for the donated shares.

Read SEC document
February 28, 2023 Filed Mar 1, 2023 21:13 UTC
BEISER SCOTT LDirector · CHIEF EXECUTIVE OFFICER · 10% owner
ConversionCLASS A COMMON STOCK 10,000 $0.00 $0.00
Disclosure

SEC source: 0001302215-23-000010 · wf-form4_167770517450752.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: 10,000

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
February 28, 2023 Filed Mar 1, 2023 21:16 UTC
CRAIN CHRISTOPHER MGENERAL COUNSEL
ConversionCLASS B COMMON STOCK · Derivative 190 $0.00 $0.00
Disclosure

SEC source: 0001302215-23-000011 · wf-form4_167770533805695.xml · derivative · entry 3

CRAIN CHRISTOPHER M · CIK 0001649160 · GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: CLASS A COMMON STOCK · 190 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
February 28, 2023 Filed Mar 1, 2023 21:16 UTC
CRAIN CHRISTOPHER MGENERAL COUNSEL
GiftCLASS A COMMON STOCK 190 $0.00 $0.00
Disclosure

SEC source: 0001302215-23-000011 · wf-form4_167770533805695.xml · nonDerivative · entry 2

CRAIN CHRISTOPHER M · CIK 0001649160 · GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · shares: On February 28, 2023, the reporting person made a charitable donation of 190 shares of Class B Common Stock. No value was received for the donated shares.

Read SEC document
February 28, 2023 Filed Mar 1, 2023 21:16 UTC
CRAIN CHRISTOPHER MGENERAL COUNSEL
ConversionCLASS A COMMON STOCK 190 $0.00 $0.00
Disclosure

SEC source: 0001302215-23-000011 · wf-form4_167770533805695.xml · nonDerivative · entry 1

CRAIN CHRISTOPHER M · CIK 0001649160 · GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190

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
November 25, 2022 Filed Nov 25, 2022 20:38 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
ConversionCLASS B COMMON STOCK · Derivative 5,000 $0.00 $0.00
Disclosure

SEC source: 0001302215-22-000084 · wf-form4_166940872248996.xml · derivative · entry 9

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 · 5,000 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
November 25, 2022 Filed Nov 25, 2022 20:38 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
SaleCLASS A COMMON STOCK 5,000 $99.53 $497,650.00
Disclosure

SEC source: 0001302215-22-000084 · wf-form4_166940872248996.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F4 · price: Per share price reflects the weighted average price in a series of open market sales on November 25, 2022 at prices ranging from $99.31 per share to $100.12 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
November 25, 2022 Filed Nov 25, 2022 20:38 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
ConversionCLASS A COMMON STOCK 5,000 $0.00 $0.00
Disclosure

SEC source: 0001302215-22-000084 · wf-form4_166940872248996.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

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
November 23, 2022 Filed Nov 25, 2022 20:38 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
ConversionCLASS B COMMON STOCK · Derivative 9,185 $0.00 $0.00
Disclosure

SEC source: 0001302215-22-000084 · wf-form4_166940872248996.xml · derivative · entry 8

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 · 9,185 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
November 23, 2022 Filed Nov 25, 2022 20:38 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
SaleCLASS A COMMON STOCK 9,185 $98.58 $905,457.30
Disclosure

SEC source: 0001302215-22-000084 · wf-form4_166940872248996.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 November 23, 2022 at prices ranging from $98.50 per share to $98.80 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
November 23, 2022 Filed Nov 25, 2022 20:38 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
ConversionCLASS A COMMON STOCK 9,185 $0.00 $0.00
Disclosure

SEC source: 0001302215-22-000084 · wf-form4_166940872248996.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,185

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
November 22, 2022 Filed Nov 25, 2022 20:38 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
ConversionCLASS B COMMON STOCK · Derivative 815 $0.00 $0.00
Disclosure

SEC source: 0001302215-22-000084 · wf-form4_166940872248996.xml · derivative · entry 7

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 · 815 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
November 22, 2022 Filed Nov 25, 2022 20:38 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
SaleCLASS A COMMON STOCK 815 $98.52 $80,293.80
Disclosure

SEC source: 0001302215-22-000084 · wf-form4_166940872248996.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 November 22, 2022 at prices ranging from $98.50 per share to $98.55 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
November 22, 2022 Filed Nov 25, 2022 20:38 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
ConversionCLASS A COMMON STOCK 815 $0.00 $0.00
Disclosure

SEC source: 0001302215-22-000084 · wf-form4_166940872248996.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 815

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
November 21, 2022 Filed Nov 22, 2022 16:16 UTC
PREISER DAVID ADirector · CO-PRESIDENT
ConversionCLASS B COMMON STOCK · Derivative 2,500 $0.00 $0.00
Disclosure

SEC source: 0001302215-22-000082 · wf-form4_166915175733121.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 · 2,500 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
November 21, 2022 Filed Nov 22, 2022 16:16 UTC
PREISER DAVID ADirector · CO-PRESIDENT
GiftCLASS A COMMON STOCK 2,500 $0.00 $0.00
Disclosure

SEC source: 0001302215-22-000082 · wf-form4_166915175733121.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · shares: On November 21, 2022, the reporting person made a charitable donation of 2,500 shares of Class B Common Stock. No value was received for the donated shares.

Read SEC document
November 21, 2022 Filed Nov 22, 2022 16:16 UTC
PREISER DAVID ADirector · CO-PRESIDENT
ConversionCLASS A COMMON STOCK 2,500 $0.00 $0.00
Disclosure

SEC source: 0001302215-22-000082 · wf-form4_166915175733121.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

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
November 11, 2022 Filed Nov 14, 2022 21:14 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
ConversionCLASS B COMMON STOCK · Derivative 5,389 $0.00 $0.00
Disclosure

SEC source: 0001302215-22-000080 · wf-form4_166846027275991.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 · 5,389 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
November 11, 2022 Filed Nov 14, 2022 21:14 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
SaleCLASS A COMMON STOCK 5,389 $96.16 $518,206.24
Disclosure

SEC source: 0001302215-22-000080 · wf-form4_166846027275991.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 November 11, 2022 at prices ranging from $96.00 per share to $96.34 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
November 11, 2022 Filed Nov 14, 2022 21:14 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
ConversionCLASS A COMMON STOCK 5,389 $0.00 $0.00
Disclosure

SEC source: 0001302215-22-000080 · wf-form4_166846027275991.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,389

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
November 07, 2022 Filed Nov 9, 2022 22:12 UTC
BEISER SCOTT LDirector · CHIEF EXECUTIVE OFFICER · 10% owner
ConversionCLASS B COMMON STOCK · Derivative 16,367 $0.00 $0.00
Disclosure

SEC source: 0001302215-22-000078 · wf-form4_166803191134965.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 · 16,367 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
November 07, 2022 Filed Nov 9, 2022 22:12 UTC
BEISER SCOTT LDirector · CHIEF EXECUTIVE OFFICER · 10% owner
SaleCLASS A COMMON STOCK 16,367 $93.28 $1,526,713.76
Disclosure

SEC source: 0001302215-22-000078 · wf-form4_166803191134965.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 November 7, 2022 at prices ranging from $92.33 per share to $93.98 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
November 07, 2022 Filed Nov 9, 2022 22:12 UTC
BEISER SCOTT LDirector · CHIEF EXECUTIVE OFFICER · 10% owner
ConversionCLASS A COMMON STOCK 16,367 $0.00 $0.00
Disclosure

SEC source: 0001302215-22-000078 · wf-form4_166803191134965.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: 16,367

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
June 16, 2022 Filed Jun 27, 2022 21:36 UTC PurchaseCLASS A COMMON STOCK 192 $77.43 $14,866.56
Disclosure

SEC source: 0001302215-22-000059 · wf-form4_165636577609894.xml · nonDerivative · entry 1

SCHRIESHEIM ROBERT A · CIK 0001281910 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,678

F1 · shares: Represents the acquisition of shares through a broker-sponsored dividend reinvestment plan.

Read SEC document
May 27, 2022 Filed May 31, 2022 20:56 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
OtherCLASS B COMMON STOCK · Derivative 13,764 $0.00 $0.00
Disclosure

SEC source: 0001302215-22-000031 · wf-form4_165403056842679.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · BY HL VOTING TRUST

Disclosed balance after: 1,154,703

Underlying: CLASS A COMMON STOCK · 13,764 shares

Expires not disclosed

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.

F3 · ownership.direct: 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.

Read SEC document
May 27, 2022 Filed May 31, 2022 20:56 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
GrantCLASS B COMMON STOCK · Derivative 13,764 $0.00 $0.00
Disclosure

SEC source: 0001302215-22-000031 · wf-form4_165403056842679.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,764

Underlying: CLASS A COMMON STOCK · 13,764 shares

Expires not disclosed

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.

F2 · shares: On May 27, 2022, the Issuer granted 13,764 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.

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
May 27, 2022 Filed May 31, 2022 17:05 UTC
PREISER DAVID ADirector · CO-PRESIDENT
OtherCLASS B COMMON STOCK · Derivative 9,624 $0.00 $0.00
Disclosure

SEC source: 0001302215-22-000037 · wf-form4_165403106724745.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · BY HL VOTING TRUST

Disclosed balance after: 536,016

Underlying: CLASS A COMMON STOCK · 9,624 shares

Expires not disclosed

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.

F3 · ownership.direct: Represents shares of Class B Common Stock deposited into the HL Voting Trust (the "Voting Trust"). The reporting person retains investment control and dispositive power over the shares deposited into the Voting Trust.

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May 27, 2022 Filed May 31, 2022 17:05 UTC
PREISER DAVID ADirector · CO-PRESIDENT
GrantCLASS B COMMON STOCK · Derivative 9,624 $0.00 $0.00
Disclosure

SEC source: 0001302215-22-000037 · wf-form4_165403106724745.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,624

Underlying: CLASS A COMMON STOCK · 9,624 shares

Expires not disclosed

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.

F2 · shares: On May 27, 2022, the Issuer granted 9,624 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.

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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May 27, 2022 Filed May 31, 2022 21:34 UTC GrantCLASS A COMMON STOCK 1,064 $0.00 $0.00
Disclosure

SEC source: 0001302215-22-000054 · wf-form4_165403283652002.xml · nonDerivative · entry 1

Walker Cyrus D. · CIK 0001805514 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,312

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May 27, 2022 Filed May 31, 2022 21:25 UTC GrantCLASS A COMMON STOCK 1,064 $0.00 $0.00
Disclosure

SEC source: 0001302215-22-000048 · wf-form4_165403227112738.xml · nonDerivative · entry 1

ZUBER PAUL ANDREW · CIK 0001757519 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · BY LLC

Disclosed balance after: 3,893

F1 · ownership.nature: Represents shares of Class A common stock owned by a limited liability company, the sole member of which is an irrevocable trust for the benefit of the reporting person's children. The reporting person is the trustee of such trust and the manager of such limited liability company.

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May 27, 2022 Filed May 31, 2022 21:13 UTC
CRAIN CHRISTOPHER MGENERAL COUNSEL
OtherCLASS B COMMON STOCK · Derivative 5,416 $0.00 $0.00
Disclosure

SEC source: 0001302215-22-000041 · wf-form4_165403154751981.xml · derivative · entry 2

CRAIN CHRISTOPHER M · CIK 0001649160 · GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Indirect · BY HL VOTING TRUST

Disclosed balance after: 58,170

Underlying: CLASS A COMMON STOCK · 5,416 shares

Expires not disclosed

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.

F3 · ownership.direct: 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.

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May 27, 2022 Filed May 31, 2022 21:13 UTC
CRAIN CHRISTOPHER MGENERAL COUNSEL
GrantCLASS B COMMON STOCK · Derivative 5,416 $0.00 $0.00
Disclosure

SEC source: 0001302215-22-000041 · wf-form4_165403154751981.xml · derivative · entry 1

CRAIN CHRISTOPHER M · CIK 0001649160 · GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,416

Underlying: CLASS A COMMON STOCK · 5,416 shares

Expires not disclosed

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.

F2 · shares: On May 27, 2022, the Issuer granted 5,416 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.

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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May 27, 2022 Filed May 31, 2022 21:07 UTC
ALLEY J LINDSEYChief Financial Officer
OtherCLASS B COMMON STOCK · Derivative 7,988 $0.00 $0.00
Disclosure

SEC source: 0001302215-22-000039 · wf-form4_165403124653568.xml · derivative · entry 2

ALLEY J LINDSEY · CIK 0001649209 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · BY HL VOTING TRUST

Disclosed balance after: 84,350

Underlying: CLASS A COMMON STOCK · 7,988 shares

Expires not disclosed

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.

F3 · ownership.direct: Represents shares of Class B Common Stock deposited into the HL Voting Trust (the "Voting Trust"). The reporting person retains investment control and dispositive power over the shares deposited into the Voting Trust.

Read SEC document
May 27, 2022 Filed May 31, 2022 21:07 UTC
ALLEY J LINDSEYChief Financial Officer
GrantCLASS B COMMON STOCK · Derivative 7,988 $0.00 $0.00
Disclosure

SEC source: 0001302215-22-000039 · wf-form4_165403124653568.xml · derivative · entry 1

ALLEY J LINDSEY · CIK 0001649209 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,988

Underlying: CLASS A COMMON STOCK · 7,988 shares

Expires not disclosed

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.

F2 · shares: On May 27, 2022, the Issuer granted 7,988 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.

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
May 27, 2022 Filed May 31, 2022 20:59 UTC
BEISER SCOTT LDirector · CHIEF EXECUTIVE OFFICER · 10% owner
OtherCLASS B COMMON STOCK · Derivative 21,008 $0.00 $0.00
Disclosure

SEC source: 0001302215-22-000033 · wf-form4_165403071082150.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · BY HL VOTING TRUST

Disclosed balance after: 900,143

Underlying: CLASS A COMMON STOCK · 21,008 shares

Expires not disclosed

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.

F3 · ownership.direct: 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.

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May 27, 2022 Filed May 31, 2022 20:59 UTC
BEISER SCOTT LDirector · CHIEF EXECUTIVE OFFICER · 10% owner
GrantCLASS B COMMON STOCK · Derivative 21,008 $0.00 $0.00
Disclosure

SEC source: 0001302215-22-000033 · wf-form4_165403071082150.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,008

Underlying: CLASS A COMMON STOCK · 21,008 shares

Expires not disclosed

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.

F2 · shares: On May 27, 2022, the Issuer granted 21,008 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.

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