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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
October 30, 2020 Filed Nov 2, 2020 17:23 UTC
PREISER DAVID ADirector · CO-PRESIDENT
ConversionCLASS B COMMON STOCK · Derivative 1,600 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000130 · wf-form4_160435580259884.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 · 1,600 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
October 30, 2020 Filed Nov 2, 2020 17:23 UTC
PREISER DAVID ADirector · CO-PRESIDENT
GiftCLASS A COMMON STOCK 1,600 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000130 · wf-form4_160435580259884.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 October 30, 2020, the reporting person made a charitable donation of 1,600 shares of Class B Common Stock. No value was received for the donated shares.

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October 30, 2020 Filed Nov 2, 2020 17:23 UTC
PREISER DAVID ADirector · CO-PRESIDENT
ConversionCLASS A COMMON STOCK 1,600 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000130 · wf-form4_160435580259884.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,600

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
October 27, 2020 Filed Oct 28, 2020 20:53 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
ConversionCLASS B COMMON STOCK · Derivative 4,979 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000124 · wf-form4_160391842072449.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 · 4,979 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
October 27, 2020 Filed Oct 28, 2020 20:53 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
SaleCLASS A COMMON STOCK 4,979 $65.09 $324,083.11
Disclosure

SEC source: 0001302215-20-000124 · wf-form4_160391842072449.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 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 30, 2020.

F3 · price: Per share price reflects the weighted average price in a series of open market sales on October 27, 2020 at prices ranging from $65.01 per share to $65.23 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
October 27, 2020 Filed Oct 28, 2020 20:53 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
ConversionCLASS A COMMON STOCK 4,979 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000124 · wf-form4_160391842072449.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,979

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
September 16, 2020 Filed Jun 10, 2021 00:26 UTC PurchaseCLASS A COMMON STOCK 143 $58.87 $8,418.41
Disclosure

SEC source: 0000899243-21-022889 · doc4.xml · nonDerivative · entry 16

SCHRIESHEIM ROBERT A · CIK 0001281910 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,703

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

F2 · balance_after: Represents holdings after the reported acquisition of shares under the broker-sponsored dividend reinvestment plan. The holdings reported in Form 4s filed after June 16, 2016 do not reflect these acquisitions. Total corrected direct holdings for the last Form 4 filed on May 28, 2021 are 27,557 shares.

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August 05, 2020 Filed Aug 6, 2020 23:17 UTC
ALLEY J LINDSEYChief Financial Officer
ConversionCLASS B COMMON STOCK · Derivative 4,000 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000121 · wf-form4_159675580005889.xml · derivative · entry 3

ALLEY J LINDSEY · CIK 0001649209 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: CLASS A COMMON STOCK · 4,000 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
August 05, 2020 Filed Aug 6, 2020 23:17 UTC
ALLEY J LINDSEYChief Financial Officer
GiftCLASS A COMMON STOCK 4,000 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000121 · wf-form4_159675580005889.xml · nonDerivative · entry 2

ALLEY J LINDSEY · CIK 0001649209 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · shares: On August 5, 2020, the reporting person made a charitable donation of 4,000 shares of Class B Common Stock. No value was received for the donated shares.

Read SEC document
August 05, 2020 Filed Aug 6, 2020 23:17 UTC
ALLEY J LINDSEYChief Financial Officer
ConversionCLASS A COMMON STOCK 4,000 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000121 · wf-form4_159675580005889.xml · nonDerivative · entry 1

ALLEY J LINDSEY · CIK 0001649209 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

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
July 30, 2020 Filed Aug 6, 2020 23:15 UTC GiftCLASS A COMMON STOCK 3,062 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000119 · wf-form4_159675569441062.xml · nonDerivative · entry 2

ZUBER PAUL ANDREW · CIK 0001757519 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · BY LLC

Disclosed balance after: 3,062

F1 · acquired: On July 30, 2020, the reporting person made a bona fide gift of 3,062 shares to a limited liability company, the sole member of which is an irrevocable trust for the benefit of his children. The reporting person is the trustee of such trust and the manager of such limited liability company.

F1 · ownership.nature: On July 30, 2020, the reporting person made a bona fide gift of 3,062 shares to a limited liability company, the sole member of which is an irrevocable trust for the benefit of his children. The reporting person is the trustee of such trust and the manager of such limited liability company.

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July 30, 2020 Filed Aug 6, 2020 23:15 UTC GiftCLASS A COMMON STOCK 3,062 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000119 · wf-form4_159675569441062.xml · nonDerivative · entry 1

ZUBER PAUL ANDREW · CIK 0001757519 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,572

F1 · acquired: On July 30, 2020, the reporting person made a bona fide gift of 3,062 shares to a limited liability company, the sole member of which is an irrevocable trust for the benefit of his children. The reporting person is the trustee of such trust and the manager of such limited liability company.

Read SEC document
June 30, 2020 Filed Jul 2, 2020 01:36 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
ConversionCLASS B COMMON STOCK · Derivative 10,000 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000109 · wf-form4_159365376948845.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 · 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
June 30, 2020 Filed Jul 2, 2020 01:36 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
SaleCLASS A COMMON STOCK 10,000 $55.06 $550,600.00
Disclosure

SEC source: 0001302215-20-000109 · wf-form4_159365376948845.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 June 30, 2020 at prices ranging from $55.00 per share to $55.30 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
June 30, 2020 Filed Jul 2, 2020 01:36 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
ConversionCLASS A COMMON STOCK 10,000 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000109 · wf-form4_159365376948845.xml · nonDerivative · entry 1

GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 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
June 26, 2020 Filed Jun 26, 2020 21:28 UTC
CRAIN CHRISTOPHER MGENERAL COUNSEL
ConversionCLASS B COMMON STOCK · Derivative 175 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000107 · wf-form4_159320687864734.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 · 175 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
June 26, 2020 Filed Jun 26, 2020 21:28 UTC
CRAIN CHRISTOPHER MGENERAL COUNSEL
GiftCLASS A COMMON STOCK 175 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000107 · wf-form4_159320687864734.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 June 26, 2020, the reporting person made a charitable donation of 175 shares of Class B Common Stock. No value was received for the donated shares.

Read SEC document
June 26, 2020 Filed Jun 26, 2020 21:28 UTC
CRAIN CHRISTOPHER MGENERAL COUNSEL
ConversionCLASS A COMMON STOCK 175 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000107 · wf-form4_159320687864734.xml · nonDerivative · entry 1

CRAIN CHRISTOPHER M · CIK 0001649160 · GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175

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 17, 2020 Filed Jun 18, 2020 22:44 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
ConversionCLASS B COMMON STOCK · Derivative 8,000 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000103 · wf-form4_159252024428308.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 · 8,000 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
June 17, 2020 Filed Jun 18, 2020 22:44 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
GiftCLASS A COMMON STOCK 8,000 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000103 · wf-form4_159252024428308.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 · shares: On June 17, 2020, the reporting person made a charitable donation of 8,000 shares of Class B Common Stock. No value was received for the donated shares.

Read SEC document
June 17, 2020 Filed Jun 18, 2020 22:44 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
ConversionCLASS A COMMON STOCK 8,000 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000103 · wf-form4_159252024428308.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,000

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 · shares: 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 17, 2020 Filed Jun 18, 2020 22:46 UTC
BEISER SCOTT LDirector · CHIEF EXECUTIVE OFFICER · 10% owner
ConversionCLASS B COMMON STOCK · Derivative 10,000 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000105 · wf-form4_159252034676206.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
June 17, 2020 Filed Jun 18, 2020 22:46 UTC
BEISER SCOTT LDirector · CHIEF EXECUTIVE OFFICER · 10% owner
SaleCLASS A COMMON STOCK 10,000 $60.19 $601,900.00
Disclosure

SEC source: 0001302215-20-000105 · wf-form4_159252034676206.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 June 17, 2020 at prices ranging from $59.66 per share to $60.54 per share. The reporting person undertakes to provide to Houlihan Lokey, Inc., and security holder of Houlihan Lokey, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range identified in this footnote.

Read SEC document
June 17, 2020 Filed Jun 18, 2020 22:46 UTC
BEISER SCOTT LDirector · CHIEF EXECUTIVE OFFICER · 10% owner
ConversionCLASS A COMMON STOCK 10,000 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000105 · wf-form4_159252034676206.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
June 16, 2020 Filed Jun 10, 2021 00:26 UTC PurchaseCLASS A COMMON STOCK 125 $58.34 $7,292.50
Disclosure

SEC source: 0000899243-21-022889 · doc4.xml · nonDerivative · entry 15

SCHRIESHEIM ROBERT A · CIK 0001281910 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,622

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

F2 · balance_after: Represents holdings after the reported acquisition of shares under the broker-sponsored dividend reinvestment plan. The holdings reported in Form 4s filed after June 16, 2016 do not reflect these acquisitions. Total corrected direct holdings for the last Form 4 filed on May 28, 2021 are 27,557 shares.

Read SEC document
June 02, 2020 Filed Jun 3, 2020 22:07 UTC
BEISER SCOTT LDirector · CHIEF EXECUTIVE OFFICER · 10% owner
ConversionCLASS B COMMON STOCK · Derivative 10,000 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000101 · wf-form4_159122204941031.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
June 02, 2020 Filed Jun 3, 2020 22:07 UTC
BEISER SCOTT LDirector · CHIEF EXECUTIVE OFFICER · 10% owner
GiftCLASS A COMMON STOCK 10,000 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000101 · wf-form4_159122204941031.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 June 2, 2020, 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
June 02, 2020 Filed Jun 3, 2020 22:07 UTC
BEISER SCOTT LDirector · CHIEF EXECUTIVE OFFICER · 10% owner
ConversionCLASS A COMMON STOCK 10,000 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000101 · wf-form4_159122204941031.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 · shares: 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 28, 2020 Filed May 29, 2020 20:30 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
OtherCLASS B COMMON STOCK · Derivative 8,389 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000085 · wf-form4_159078421036631.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: 1,186,214

Underlying: CLASS A COMMON STOCK · 8,389 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 28, 2020 Filed May 29, 2020 20:30 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
GrantCLASS B COMMON STOCK · Derivative 8,389 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000085 · wf-form4_159078421036631.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,389

Underlying: CLASS A COMMON STOCK · 8,389 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 28, 2020, the Issuer granted 8,389 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 28, 2020 Filed May 29, 2020 16:37 UTC
PREISER DAVID ADirector · CO-PRESIDENT
OtherCLASS B COMMON STOCK · Derivative 7,216 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000091 · wf-form4_159078464850679.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: 552,091

Underlying: CLASS A COMMON STOCK · 7,216 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.

Read SEC document
May 28, 2020 Filed May 29, 2020 16:37 UTC
PREISER DAVID ADirector · CO-PRESIDENT
GrantCLASS B COMMON STOCK · Derivative 7,216 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000091 · wf-form4_159078464850679.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,216

Underlying: CLASS A COMMON STOCK · 7,216 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 28, 2020, the Issuer granted 7,216 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 28, 2020 Filed May 29, 2020 20:42 UTC
CRAIN CHRISTOPHER MGENERAL COUNSEL
OtherCLASS B COMMON STOCK · Derivative 1,800 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000095 · wf-form4_159078492146437.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: 51,588

Underlying: CLASS A COMMON STOCK · 1,800 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.

Read SEC document
May 28, 2020 Filed May 29, 2020 20:42 UTC
CRAIN CHRISTOPHER MGENERAL COUNSEL
GrantCLASS B COMMON STOCK · Derivative 1,800 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000095 · wf-form4_159078492146437.xml · derivative · entry 1

CRAIN CHRISTOPHER M · CIK 0001649160 · GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,800

Underlying: CLASS A COMMON STOCK · 1,800 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 28, 2020 the Issuer granted 1,800 shares of Class B Common Stock to the reporting person pursuant to its 2016 Incentive Award Plan, which vest in four equal annual installments following the grant date.

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 28, 2020 Filed May 29, 2020 20:39 UTC
ALLEY J LINDSEYChief Financial Officer
OtherCLASS A COMMON STOCK · Derivative 2,653 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000093 · wf-form4_159078477191895.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: 88,748

Underlying: CLASS A COMMON STOCK · 2,653 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.

Read SEC document
May 28, 2020 Filed May 29, 2020 20:39 UTC
ALLEY J LINDSEYChief Financial Officer
GrantCLASS B COMMON STOCK · Derivative 2,653 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000093 · wf-form4_159078477191895.xml · derivative · entry 1

ALLEY J LINDSEY · CIK 0001649209 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,653

Underlying: CLASS A COMMON STOCK · 2,653 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 28, 2020 the Issuer granted 2,653 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 28, 2020 Filed May 29, 2020 20:33 UTC
BEISER SCOTT LDirector · CHIEF EXECUTIVE OFFICER · 10% owner
OtherCLASS B COMMON STOCK · Derivative 13,897 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000087 · wf-form4_159078436318335.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: 919,158

Underlying: CLASS A COMMON STOCK · 13,897 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 28, 2020 Filed May 29, 2020 20:33 UTC
BEISER SCOTT LDirector · CHIEF EXECUTIVE OFFICER · 10% owner
GrantCLASS B COMMON STOCK · Derivative 13,897 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000087 · wf-form4_159078436318335.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: 13,897

Underlying: CLASS A COMMON STOCK · 13,897 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 28, 2020, the Issuer granted 13,897 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 28, 2020 Filed May 29, 2020 20:20 UTC GrantCLASS A COMMON STOCK 1,938 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000076 · wf-form4_159078358170622.xml · nonDerivative · entry 1

SCHRIESHEIM ROBERT A · CIK 0001281910 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,054

Read SEC document
May 28, 2020 Filed May 29, 2020 20:21 UTC GrantCLASS A COMMON STOCK 1,443 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000078 · wf-form4_159078369193309.xml · nonDerivative · entry 1

KOSECOFF JACQUELINE B · CIK 0001209524 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,742

Read SEC document
May 28, 2020 Filed May 29, 2020 20:35 UTC
Adelson Scott JosephDirector · CO-PRESIDENT
OtherCLASS B COMMON STOCK · Derivative 18,412 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000089 · wf-form4_159078450005069.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · BY HL VOTING TRUST

Disclosed balance after: 840,151

Underlying: CLASS A COMMON STOCK · 18,412 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.

Read SEC document
May 28, 2020 Filed May 29, 2020 20:35 UTC
Adelson Scott JosephDirector · CO-PRESIDENT
GrantCLASS B COMMON STOCK · Derivative 18,412 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000089 · wf-form4_159078450005069.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,412

Underlying: CLASS A COMMON STOCK · 18,412 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 28, 2020, the Issuer granted 18,412 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 28, 2020 Filed May 29, 2020 20:26 UTC GrantCLASS A COMMON STOCK 753 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000082 · wf-form4_159078397055351.xml · nonDerivative · entry 1

Zucker Gillian Beth · CIK 0001794578 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,871

Read SEC document
May 28, 2020 Filed Jun 1, 2020 20:20 UTC GrantCLASS A COMMON STOCK 1,443 $0.00 $0.00
Disclosure

SEC source: 0001302215-20-000099 · wf-form4_159104279937459.xml · nonDerivative · entry 1

ZUBER PAUL ANDREW · CIK 0001757519 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,634

Read SEC document
April 30, 2020 Filed May 4, 2020 20:32 UTC
GOLD IRWINDirector · EXECUTIVE CHAIRMAN · 10% owner
Tax withholdingCLASS B COMMON STOCK · Derivative 3,132 $59.38 $185,978.16
Disclosure

SEC source: 0001302215-20-000056 · wf-form4_158862434818397.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · BY HL VOTING TRUST

Disclosed balance after: 1,177,825

Underlying: CLASS A COMMON STOCK · 3,132 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.

F2 · ownership.nature: 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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April 30, 2020 Filed May 4, 2020 16:39 UTC
PREISER DAVID ADirector · CO-PRESIDENT
Tax withholdingCLASS B COMMON STOCK · Derivative 3,077 $59.38 $182,712.26
Disclosure

SEC source: 0001302215-20-000062 · wf-form4_158862473993984.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · BY HL VOTING TRUST

Disclosed balance after: 544,875

Underlying: CLASS A COMMON STOCK · 3,077 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.

F2 · 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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April 30, 2020 Filed May 4, 2020 20:43 UTC
CRAIN CHRISTOPHER MGENERAL COUNSEL
Tax withholdingCLASS B COMMON STOCK · Derivative 727 $59.38 $43,169.26
Disclosure

SEC source: 0001302215-20-000066 · wf-form4_158862499230018.xml · derivative · entry 1

CRAIN CHRISTOPHER M · CIK 0001649160 · GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Indirect · BY HL VOTING TRUST

Disclosed balance after: 49,788

Underlying: CLASS A COMMON STOCK · 727 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.

F2 · 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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April 30, 2020 Filed May 4, 2020 20:41 UTC
ALLEY J LINDSEYChief Financial Officer
Tax withholdingCLASS A COMMON STOCK · Derivative 729 $59.38 $43,288.02
Disclosure

SEC source: 0001302215-20-000064 · wf-form4_158862486759022.xml · derivative · entry 1

ALLEY J LINDSEY · CIK 0001649209 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · BY HL VOTING TRUST

Disclosed balance after: 86,095

Underlying: CLASS A COMMON STOCK · 729 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.

F2 · 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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April 30, 2020 Filed May 4, 2020 20:35 UTC
BEISER SCOTT LDirector · CHIEF EXECUTIVE OFFICER · 10% owner
Tax withholdingCLASS B COMMON STOCK · Derivative 3,132 $59.38 $185,978.16
Disclosure

SEC source: 0001302215-20-000058 · wf-form4_158862449822649.xml · derivative · entry 1

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: 905,261

Underlying: CLASS A COMMON STOCK · 3,132 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.

F2 · 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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April 30, 2020 Filed May 4, 2020 20:37 UTC
Adelson Scott JosephDirector · CO-PRESIDENT
Tax withholdingCLASS B COMMON STOCK · Derivative 16,212 $59.38 $962,668.56
Disclosure

SEC source: 0001302215-20-000060 · wf-form4_158862461624181.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · BY HL VOTING TRUST

Disclosed balance after: 821,739

Underlying: CLASS A COMMON STOCK · 16,212 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.

F2 · 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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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.