HLNE

SEC source: 0001628280-25-005779 · wk-form4_1739569191.xml · derivative · entry 2

Giannini Kyera · CIK 0001761415 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 213,648

Underlying: Class A Common Stock · 25,000 shares

Expires not disclosed

F3 · derivative.exercise_price: Pursuant to the Exchange Agreement, the Class B Units of Hamilton Lane Advisors, L.L.C. are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units do not have an expiration date.

F1 · kind: The reporting person exchanged Class B Units (and corresponding shares of Class B common stock) with the Issuer pursuant to an exchange agreement (the "Exchange Agreement") entered into at the time of and in connection with a reorganization incident to the Issuer's initial public offering. At the Issuer's election, the exchange was settled in cash.

F3 · derivative.exercise_date: Pursuant to the Exchange Agreement, the Class B Units of Hamilton Lane Advisors, L.L.C. are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units do not have an expiration date.

F3 · derivative.expiration_date: Pursuant to the Exchange Agreement, the Class B Units of Hamilton Lane Advisors, L.L.C. are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units do not have an expiration date.

SEC source: 0001628280-25-005779 · wk-form4_1739569191.xml · nonDerivative · entry 1

Giannini Kyera · CIK 0001761415 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 213,648

F1 · kind: The reporting person exchanged Class B Units (and corresponding shares of Class B common stock) with the Issuer pursuant to an exchange agreement (the "Exchange Agreement") entered into at the time of and in connection with a reorganization incident to the Issuer's initial public offering. At the Issuer's election, the exchange was settled in cash.

F2 · balance_after: The Class B common stock does not carry economic value beyond the right to receive the par value of such stock upon liquidation, dissolution or exchange of those shares. However, the Class B common stock entitles its holder to ten votes per share on every matter submitted to the Issuer's stockholders for a vote.

SEC source: 0001628280-25-005774 · wk-form4_1739568927.xml · derivative · entry 2

SCHMERTZLER MICHAEL · CIK 0001288952 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 625,005

Underlying: Class A Common Stock · 100,000 shares

Expires not disclosed

F3 · derivative.exercise_price: Pursuant to the Exchange Agreement, the Class B Units of Hamilton Lane Advisors, L.L.C. are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units do not have an expiration date.

F1 · kind: The reporting person exchanged Class B Units (and corresponding shares of Class B common stock) with the Issuer pursuant to an exchange agreement (the "Exchange Agreement") entered into at the time of and in connection with a reorganization incident to the Issuer's initial public offering. At the Issuer's election, the exchange was settled in cash.

F3 · derivative.exercise_date: Pursuant to the Exchange Agreement, the Class B Units of Hamilton Lane Advisors, L.L.C. are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units do not have an expiration date.

F3 · derivative.expiration_date: Pursuant to the Exchange Agreement, the Class B Units of Hamilton Lane Advisors, L.L.C. are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units do not have an expiration date.

F4 · ownership.nature: These securities are owned directly by HLA Investments, LLC.

SEC source: 0001628280-25-005774 · wk-form4_1739568927.xml · nonDerivative · entry 1

SCHMERTZLER MICHAEL · CIK 0001288952 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 625,005

F1 · kind: The reporting person exchanged Class B Units (and corresponding shares of Class B common stock) with the Issuer pursuant to an exchange agreement (the "Exchange Agreement") entered into at the time of and in connection with a reorganization incident to the Issuer's initial public offering. At the Issuer's election, the exchange was settled in cash.

F2 · balance_after: The Class B common stock does not carry economic value beyond the right to receive the par value of such stock upon liquidation, dissolution or exchange of those shares. However, the Class B common stock entitles its holder to ten votes per share on every matter submitted to the Issuer's stockholders for a vote.

SEC source: 0001628280-25-005769 · wk-form4_1739568816.xml · derivative · entry 2

Whittemore Laurence · CIK 0001699000 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 91,880

Underlying: Class A Common Stock · 65,000 shares

Expires not disclosed

F3 · derivative.exercise_price: Pursuant to the Exchange Agreement, the Class B Units of Hamilton Lane Advisors, L.L.C. are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units do not have an expiration date.

F1 · kind: The reporting person exchanged Class B Units (and corresponding shares of Class B common stock) with the Issuer pursuant to an exchange agreement (the "Exchange Agreement") entered into at the time of and in connection with a reorganization incident to the Issuer's initial public offering. At the Issuer's election, the exchange was settled in cash.

F3 · derivative.exercise_date: Pursuant to the Exchange Agreement, the Class B Units of Hamilton Lane Advisors, L.L.C. are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units do not have an expiration date.

F3 · derivative.expiration_date: Pursuant to the Exchange Agreement, the Class B Units of Hamilton Lane Advisors, L.L.C. are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units do not have an expiration date.

F4 · ownership.nature: Held on behalf of the reporting person by HLA Investments, LLC.

SEC source: 0001628280-25-005769 · wk-form4_1739568816.xml · nonDerivative · entry 1

Whittemore Laurence · CIK 0001699000 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,880

F1 · kind: The reporting person exchanged Class B Units (and corresponding shares of Class B common stock) with the Issuer pursuant to an exchange agreement (the "Exchange Agreement") entered into at the time of and in connection with a reorganization incident to the Issuer's initial public offering. At the Issuer's election, the exchange was settled in cash.

F2 · balance_after: The Class B common stock does not carry economic value beyond the right to receive the par value of such stock upon liquidation, dissolution or exchange of those shares. However, the Class B common stock entitles its holder to ten votes per share on every matter submitted to the Issuer's stockholders for a vote.

SEC source: 0001628280-25-005762 · wk-form4_1739568711.xml · derivative · entry 2

Whittemore Edward B. · CIK 0001698930 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 105,000

Underlying: Class A Common Stock · 15,000 shares

Expires not disclosed

F3 · derivative.exercise_price: Pursuant to the Exchange Agreement, the Class B Units of Hamilton Lane Advisors, L.L.C. are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units do not have an expiration date.

F1 · kind: The reporting person exchanged Class B Units (and corresponding shares of Class B common stock) with the Issuer pursuant to an exchange agreement (the "Exchange Agreement") entered into at the time of and in connection with a reorganization incident to the Issuer's initial public offering. At the Issuer's election, the exchange was settled in cash.

F3 · derivative.exercise_date: Pursuant to the Exchange Agreement, the Class B Units of Hamilton Lane Advisors, L.L.C. are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units do not have an expiration date.

F3 · derivative.expiration_date: Pursuant to the Exchange Agreement, the Class B Units of Hamilton Lane Advisors, L.L.C. are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units do not have an expiration date.

F4 · ownership.nature: Held on behalf of the reporting person by HLA Investments, LLC.

SEC source: 0001628280-25-005762 · wk-form4_1739568711.xml · nonDerivative · entry 1

Whittemore Edward B. · CIK 0001698930 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 105,000

F1 · kind: The reporting person exchanged Class B Units (and corresponding shares of Class B common stock) with the Issuer pursuant to an exchange agreement (the "Exchange Agreement") entered into at the time of and in connection with a reorganization incident to the Issuer's initial public offering. At the Issuer's election, the exchange was settled in cash.

F2 · balance_after: The Class B common stock does not carry economic value beyond the right to receive the par value of such stock upon liquidation, dissolution or exchange of those shares. However, the Class B common stock entitles its holder to ten votes per share on every matter submitted to the Issuer's stockholders for a vote.

SEC source: 0001433642-25-000034 · wk-form4_1742331156.xml · nonDerivative · entry 4

Carl Drew Thomas · CIK 0001972135 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 838

F1 · kind: These shares were acquired pursuant to the Issuer's Employee Share Purchase Plan in a transaction that was exempt under Rule 16b-3(d).

SEC source: 0001433642-25-000029 · wk-form4_1742330502.xml · nonDerivative · entry 2

Kramer Andrea Anigati · CIK 0001698324 · Chief Operating Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 62,153

F1 · kind: These shares were acquired pursuant to the Issuer's Employee Share Purchase Plan in a transaction that was exempt under Rule 16b-3(d).

SEC source: 0001433642-24-000119 · wk-form4_1731533460.xml · nonDerivative · entry 1

Delgado-Moreira Juan · CIK 0001698040 · Director · Co-Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust

Disclosed balance after: 21,975

F1 · ownership.nature: These securities are held in trust for the benefit of the reporting person.

SEC source: 0001433642-25-000034 · wk-form4_1742331156.xml · nonDerivative · entry 3

Carl Drew Thomas · CIK 0001972135 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 814

F1 · kind: These shares were acquired pursuant to the Issuer's Employee Share Purchase Plan in a transaction that was exempt under Rule 16b-3(d).

SEC source: 0001433642-25-000029 · wk-form4_1742330502.xml · nonDerivative · entry 1

Kramer Andrea Anigati · CIK 0001698324 · Chief Operating Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 62,111

F1 · kind: These shares were acquired pursuant to the Issuer's Employee Share Purchase Plan in a transaction that was exempt under Rule 16b-3(d).

SEC source: 0001433642-24-000107 · wk-form4_1726693143.xml · derivative · entry 3

Delgado-Moreira Juan · CIK 0001698040 · Director · Co-Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 544,000

Underlying: Class A Common Stock · 544,000 shares

Expires not disclosed

F2 · derivative.exercise_price: Each share of performance stock represents a contingent right to receive one share of Class A common stock. The performance stock vests upon the Issuer's Class A common stock achieving a specified price per share. The performance period of the performance stock ends on September 16, 2031.

F2 · derivative.exercise_date: Each share of performance stock represents a contingent right to receive one share of Class A common stock. The performance stock vests upon the Issuer's Class A common stock achieving a specified price per share. The performance period of the performance stock ends on September 16, 2031.

F2 · derivative.expiration_date: Each share of performance stock represents a contingent right to receive one share of Class A common stock. The performance stock vests upon the Issuer's Class A common stock achieving a specified price per share. The performance period of the performance stock ends on September 16, 2031.

SEC source: 0001433642-24-000105 · wk-form4_1726693043.xml · derivative · entry 3

Hirsch Erik R. · CIK 0001698098 · Director · Co-Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 544,000

Underlying: Class A Common Stock · 544,000 shares

Expires not disclosed

F2 · derivative.exercise_price: Each share of performance stock represents a contingent right to receive one share of Class A common stock. The performance stock vests upon the Issuer's Class A common stock achieving a specified price per share. The performance period of the performance stock ends on September 16, 2031.

F2 · derivative.exercise_date: Each share of performance stock represents a contingent right to receive one share of Class A common stock. The performance stock vests upon the Issuer's Class A common stock achieving a specified price per share. The performance period of the performance stock ends on September 16, 2031.

F2 · derivative.expiration_date: Each share of performance stock represents a contingent right to receive one share of Class A common stock. The performance stock vests upon the Issuer's Class A common stock achieving a specified price per share. The performance period of the performance stock ends on September 16, 2031.

SEC source: 0001433642-24-000103 · wk-form4_1726692913.xml · nonDerivative · entry 1

SEXTON O GRIFFITH · CIK 0001338580 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,521

F1 · shares: Represents the number of shares issued to the reporting person pursuant to an award of restricted stock under the Issuer's Amended and Restated 2017 Equity Incentive Plan in consideration of the reporting person's service on the board of directors of the Issuer. The shares vest one year from the transaction date.

SEC source: 0001433642-24-000102 · wk-form4_1726692739.xml · derivative · entry 6

Kramer Andrea Anigati · CIK 0001698324 · Chief Operating Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,435

Underlying: Class A Common Stock · 5,435 shares

Expires not disclosed

F5 · derivative.exercise_price: Each share of performance stock represents a contingent right to receive one share of Class A common stock. The performance stock vests upon the Issuer's Class A common stock achieving a specified price per share. The performance period of the performance stock ends on September 16, 2031.

F5 · derivative.exercise_date: Each share of performance stock represents a contingent right to receive one share of Class A common stock. The performance stock vests upon the Issuer's Class A common stock achieving a specified price per share. The performance period of the performance stock ends on September 16, 2031.

F5 · derivative.expiration_date: Each share of performance stock represents a contingent right to receive one share of Class A common stock. The performance stock vests upon the Issuer's Class A common stock achieving a specified price per share. The performance period of the performance stock ends on September 16, 2031.

SEC source: 0001433642-24-000102 · wk-form4_1726692739.xml · nonDerivative · entry 3

Kramer Andrea Anigati · CIK 0001698324 · Chief Operating Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 62,085

F2 · kind: Shares issued to the reporting person pursuant to an award of restricted stock under the Issuer's Amended and Restated 2017 Equity Incentive Plan. The shares vest in four equal annual installments.

SEC source: 0001433642-24-000100 · wk-form4_1726692644.xml · derivative · entry 2

Armbrister Jeffrey Brian · CIK 0001987386 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,348

Underlying: Class A Common Stock · 4,348 shares

Expires not disclosed

F2 · derivative.exercise_price: Each share of performance stock represents a contingent right to receive one share of Class A common stock. The performance stock vests upon the Issuer's Class A common stock achieving a specified price per share. The performance period of the performance stock ends on September 16, 2031.

F2 · derivative.exercise_date: Each share of performance stock represents a contingent right to receive one share of Class A common stock. The performance stock vests upon the Issuer's Class A common stock achieving a specified price per share. The performance period of the performance stock ends on September 16, 2031.

F2 · derivative.expiration_date: Each share of performance stock represents a contingent right to receive one share of Class A common stock. The performance stock vests upon the Issuer's Class A common stock achieving a specified price per share. The performance period of the performance stock ends on September 16, 2031.

SEC source: 0001433642-24-000100 · wk-form4_1726692644.xml · nonDerivative · entry 1

Armbrister Jeffrey Brian · CIK 0001987386 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,376

F1 · kind: Shares issued to the reporting person pursuant to an award of restricted stock under the Issuer's Amended and Restated 2017 Equity Incentive Plan. The shares vest in four equal annual installments.

SEC source: 0001433642-24-000099 · wk-form4_1726692528.xml · nonDerivative · entry 1

VARON LESLIE F · CIK 0001207403 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,992

F1 · shares: Represents the number of shares issued to the reporting person pursuant to an award of restricted stock under the Issuer's Amended and Restated 2017 Equity Incentive Plan in consideration of the reporting person's service on the board of directors of the Issuer. The shares vest one year from the transaction date.

SEC source: 0001433642-24-000102 · wk-form4_1726692739.xml · nonDerivative · entry 2

Kramer Andrea Anigati · CIK 0001698324 · Chief Operating Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,402

F1 · kind: These shares were acquired pursuant to the Issuer's Employee Share Purchase Plan in a transaction that was exempt under Rule 16b-3(d).

SEC source: 0001433642-25-000034 · wk-form4_1742331156.xml · nonDerivative · entry 2

Carl Drew Thomas · CIK 0001972135 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 794

F1 · kind: These shares were acquired pursuant to the Issuer's Employee Share Purchase Plan in a transaction that was exempt under Rule 16b-3(d).

SEC source: 0001433642-24-000102 · wk-form4_1726692739.xml · nonDerivative · entry 1

Kramer Andrea Anigati · CIK 0001698324 · Chief Operating Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,361

F1 · kind: These shares were acquired pursuant to the Issuer's Employee Share Purchase Plan in a transaction that was exempt under Rule 16b-3(d).

SEC source: 0001433642-25-000034 · wk-form4_1742331156.xml · nonDerivative · entry 1

Carl Drew Thomas · CIK 0001972135 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 769

F1 · kind: These shares were acquired pursuant to the Issuer's Employee Share Purchase Plan in a transaction that was exempt under Rule 16b-3(d).

SEC source: 0001433642-24-000050 · wk-form4_1710796040.xml · nonDerivative · entry 1

Delgado-Moreira Juan · CIK 0001698040 · Director · Co-Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,264,816

F1 · kind: Shares issued to the reporting person pursuant to an award of restricted stock under the Issuer's 2017 Equity Incentive Plan. The shares vest in four equal annual installments.

SEC source: 0001433642-24-000055 · wk-form4_1710796715.xml · nonDerivative · entry 2

Gavalis Lydia · CIK 0001698058 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,840

F3 · kind: Shares delivered to the issuer for the payment of withholding taxes due upon the vesting of previously granted restricted stock awards.

SEC source: 0001433642-24-000055 · wk-form4_1710796715.xml · nonDerivative · entry 1

Gavalis Lydia · CIK 0001698058 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,467

F1 · kind: Shares issued to the reporting person pursuant to an award of restricted stock under the Issuer's 2017 Equity Incentive Plan. The shares vest in four equal annual installments.

F2 · balance_after: The reporting person's prior Form 4 overstated her holdings by one share. The correction is reflected in the total reported here.

SEC source: 0001433642-24-000051 · wk-form4_1710796211.xml · nonDerivative · entry 2

Hirsch Erik R. · CIK 0001698098 · Director · Co-Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,660

F2 · kind: Shares delivered to the issuer for the payment of withholding taxes due upon the vesting of previously granted restricted stock awards.

SEC source: 0001433642-24-000051 · wk-form4_1710796211.xml · nonDerivative · entry 1

Hirsch Erik R. · CIK 0001698098 · Director · Co-Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 90,800

F1 · kind: Shares issued to the reporting person pursuant to an award of restricted stock under the Issuer's 2017 Equity Incentive Plan. The shares vest in four equal annual installments.

SEC source: 0001433642-24-000053 · wk-form4_1710796584.xml · nonDerivative · entry 2

Kramer Andrea Anigati · CIK 0001698324 · Chief Operating Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,321

F2 · kind: Shares delivered to the issuer for the payment of withholding taxes due upon the vesting of previously granted restricted stock awards.

SEC source: 0001433642-24-000053 · wk-form4_1710796584.xml · nonDerivative · entry 1

Kramer Andrea Anigati · CIK 0001698324 · Chief Operating Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,436

F1 · kind: Shares issued to the reporting person pursuant to an award of restricted stock under the Issuer's 2017 Equity Incentive Plan. The shares vest in four equal annual installments.

SEC source: 0001433642-24-000052 · wk-form4_1710796434.xml · nonDerivative · entry 1

Rogers Hartley R. · CIK 0001577084 · Director · Executive Co-Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,255

F1 · kind: Shares delivered to the issuer for the payment of withholding taxes due upon the vesting of previously granted restricted stock awards.

SEC source: 0001433642-24-000048 · wk-form4_1710795928.xml · nonDerivative · entry 2

Armbrister Jeffrey Brian · CIK 0001987386 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,034

F2 · kind: Shares delivered to the issuer for the payment of withholding taxes due upon the vesting of previously granted restricted stock awards.

SEC source: 0001433642-24-000048 · wk-form4_1710795928.xml · nonDerivative · entry 1

Armbrister Jeffrey Brian · CIK 0001987386 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,468

F1 · kind: Shares issued to the reporting person pursuant to an award of restricted stock under the Issuer's 2017 Equity Incentive Plan. The shares vest in four equal annual installments.

SEC source: 0001433642-24-000046 · wk-form4_1710795804.xml · nonDerivative · entry 3

Carl Drew Thomas · CIK 0001972135 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 748

F3 · kind: Shares delivered to the issuer for the payment of withholding taxes due upon the vesting of previously granted restricted stock awards.

SEC source: 0001433642-24-000046 · wk-form4_1710795804.xml · nonDerivative · entry 2

Carl Drew Thomas · CIK 0001972135 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 764

F2 · kind: Shares issued to the reporting person pursuant to an award of restricted stock under the Issuer's 2017 Equity Incentive Plan. The shares vest in four equal annual installments.

SEC source: 0001433642-24-000027 · wk-form4_1710192531.xml · derivative · entry 2

Giannini Nicole · CIK 0001761400 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 238,648

Underlying: Class A Common Stock · 50,000 shares

Expires not disclosed

F3 · derivative.exercise_price: Pursuant to the Exchange Agreement, the Class B Units of Hamilton Lane Advisors, L.L.C. ("HLA") are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units of HLA do not have an expiration date.

F1 · kind: The reporting person exchanged Class B Units (and corresponding shares of Class B common stock) with the Issuer pursuant to an exchange agreement (the "Exchange Agreement") entered into at the time of and in connection with a reorganization incident to the Issuer's initial public offering. At the Issuer's election, the exchange was settled in cash.

F3 · derivative.exercise_date: Pursuant to the Exchange Agreement, the Class B Units of Hamilton Lane Advisors, L.L.C. ("HLA") are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units of HLA do not have an expiration date.

F3 · derivative.expiration_date: Pursuant to the Exchange Agreement, the Class B Units of Hamilton Lane Advisors, L.L.C. ("HLA") are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units of HLA do not have an expiration date.

SEC source: 0001433642-24-000027 · wk-form4_1710192531.xml · nonDerivative · entry 1

Giannini Nicole · CIK 0001761400 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 238,648

F1 · kind: The reporting person exchanged Class B Units (and corresponding shares of Class B common stock) with the Issuer pursuant to an exchange agreement (the "Exchange Agreement") entered into at the time of and in connection with a reorganization incident to the Issuer's initial public offering. At the Issuer's election, the exchange was settled in cash.

F2 · balance_after: The Class B common stock does not carry economic value beyond the right to receive the par value of such stock upon liquidation, dissolution or exchange of those shares. However, the Class B common stock entitles its holder to ten votes per share on every matter submitted to the Issuer's stockholders for a vote.

SEC source: 0001433642-24-000038 · wk-form4_1710204918.xml · derivative · entry 5

Giannini Mario L · CIK 0001698053 · Director · Executive Co-Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 2,312,331

Underlying: Class A Common Stock · 550,405 shares

Expires not disclosed

F5 · derivative.exercise_price: Pursuant to the Exchange Agreement, the Class B Units of Hamilton Lane Advisors, L.L.C. are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units do not have an expiration date.

F3 · kind: Mr. Giannini, through Hamilton Lane Advisors Inc., an S-corporation that is wholly owned by Mr. Giannini ("HLA Inc."), exchanged Class B Units (and corresponding shares of Class B common stock) with the Issuer pursuant to an exchange agreement (the "Exchange Agreement") entered into at the time of and in connection with a reorganization incident to the Issuer's initial public offering. At the Issuer's election, the exchange was settled in cash.

F5 · derivative.exercise_date: Pursuant to the Exchange Agreement, the Class B Units of Hamilton Lane Advisors, L.L.C. are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units do not have an expiration date.

F5 · derivative.expiration_date: Pursuant to the Exchange Agreement, the Class B Units of Hamilton Lane Advisors, L.L.C. are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units do not have an expiration date.

F4 · ownership.nature: Represents: 2,028,699 securities owned directly by HLA Inc.; and 283,632 securities owned directly by HLA Investments, LLC.

SEC source: 0001433642-24-000038 · wk-form4_1710204918.xml · derivative · entry 4

Giannini Mario L · CIK 0001698053 · Director · Executive Co-Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 449,595 shares

Expires not disclosed

F5 · derivative.exercise_price: Pursuant to the Exchange Agreement, the Class B Units of Hamilton Lane Advisors, L.L.C. are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units do not have an expiration date.

F1 · kind: The reporting person exchanged Class B Units (and corresponding shares of Class B common stock) with the Issuer pursuant to an exchange agreement (the "Exchange Agreement") entered into at the time of and in connection with a reorganization incident to the Issuer's initial public offering. At the Issuer's election, the exchange was settled in cash.

F5 · derivative.exercise_date: Pursuant to the Exchange Agreement, the Class B Units of Hamilton Lane Advisors, L.L.C. are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units do not have an expiration date.

F5 · derivative.expiration_date: Pursuant to the Exchange Agreement, the Class B Units of Hamilton Lane Advisors, L.L.C. are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units do not have an expiration date.

SEC source: 0001433642-24-000038 · wk-form4_1710204918.xml · nonDerivative · entry 3

Giannini Mario L · CIK 0001698053 · Director · Executive Co-Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 2,312,331

F3 · kind: Mr. Giannini, through Hamilton Lane Advisors Inc., an S-corporation that is wholly owned by Mr. Giannini ("HLA Inc."), exchanged Class B Units (and corresponding shares of Class B common stock) with the Issuer pursuant to an exchange agreement (the "Exchange Agreement") entered into at the time of and in connection with a reorganization incident to the Issuer's initial public offering. At the Issuer's election, the exchange was settled in cash.

F2 · balance_after: The Class B common stock does not carry economic value beyond the right to receive the par value of such stock upon liquidation, dissolution or exchange of those shares. However, the Class B common stock entitles its holder to ten votes per share on every matter submitted to the Issuer's stockholders for a vote.

F4 · ownership.nature: Represents: 2,028,699 securities owned directly by HLA Inc.; and 283,632 securities owned directly by HLA Investments, LLC.

SEC source: 0001433642-24-000038 · wk-form4_1710204918.xml · nonDerivative · entry 2

Giannini Mario L · CIK 0001698053 · Director · Executive Co-Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The reporting person exchanged Class B Units (and corresponding shares of Class B common stock) with the Issuer pursuant to an exchange agreement (the "Exchange Agreement") entered into at the time of and in connection with a reorganization incident to the Issuer's initial public offering. At the Issuer's election, the exchange was settled in cash.

F2 · balance_after: The Class B common stock does not carry economic value beyond the right to receive the par value of such stock upon liquidation, dissolution or exchange of those shares. However, the Class B common stock entitles its holder to ten votes per share on every matter submitted to the Issuer's stockholders for a vote.

SEC source: 0001433642-24-000034 · wk-form4_1710199158.xml · derivative · entry 4

HLA INVESTMENTS LLC · CIK 0001273303 · 10% owner

HRHLA, LLC · CIK 0001698063 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 6,900,667

Underlying: Class A Common Stock · 400,000 shares

Expires not disclosed

F6 · derivative.exercise_price: Pursuant to the Exchange Agreement, the Class B Units of Hamilton Lane Advisors, L.L.C. are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units do not have an expiration date.

F4 · kind: Hartley Rogers is the manager of HRHLA, which in turn is the managing member of HLAI. HRHLA, Mr. Rogers and a charitable entity that received a gift of Class B Units from Mr. Rogers each exchanged Class B Units (and corresponding shares of Class B common stock) with the Issuer pursuant to the Exchange Agreement. At the Issuer's election, the exchange was settled in cash.

F6 · derivative.exercise_date: Pursuant to the Exchange Agreement, the Class B Units of Hamilton Lane Advisors, L.L.C. are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units do not have an expiration date.

F6 · derivative.expiration_date: Pursuant to the Exchange Agreement, the Class B Units of Hamilton Lane Advisors, L.L.C. are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units do not have an expiration date.

F5 · ownership.nature: This row reports securities beneficially owned indirectly by HRHLA through its ownership of HLAI.

SEC source: 0001433642-24-000034 · wk-form4_1710199158.xml · derivative · entry 3

HLA INVESTMENTS LLC · CIK 0001273303 · 10% owner

HRHLA, LLC · CIK 0001698063 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,818,657

Underlying: Class A Common Stock · 510,000 shares

Expires not disclosed

F6 · derivative.exercise_price: Pursuant to the Exchange Agreement, the Class B Units of Hamilton Lane Advisors, L.L.C. are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units do not have an expiration date.

F1 · kind: The following individuals, who are members of HLA Investments, LLC ("HLAI") and beneficially own Class A common stock of the Issuer through HLAI, exchanged Class B Units of Hamilton Lane Advisors, L.L.C. ("HLA") and corresponding shares of Class B common stock with the Issuer pursuant to an exchange agreement entered into at the time of and in connection with a reorganization incident to the Issuer's initial public offering (the "Exchange Agreement"): Hartley Rogers (through HRHLA, LLC ("HRHLA")), the 2008 Sexton Des. Trust FBO Laura Sexton, the 2008 Sexton Des. Trust FBO Matthew Sexton and Edward Whittemore. At the Issuer's election, the exchanges were settled in cash.

F6 · derivative.exercise_date: Pursuant to the Exchange Agreement, the Class B Units of Hamilton Lane Advisors, L.L.C. are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units do not have an expiration date.

F6 · derivative.expiration_date: Pursuant to the Exchange Agreement, the Class B Units of Hamilton Lane Advisors, L.L.C. are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units do not have an expiration date.

F3 · ownership.direct: The Class B common stock is owned directly by the HLAI member that beneficially owns the corresponding Class B Units.

SEC source: 0001433642-24-000034 · wk-form4_1710199158.xml · nonDerivative · entry 2

HLA INVESTMENTS LLC · CIK 0001273303 · 10% owner

HRHLA, LLC · CIK 0001698063 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 6,900,667

F4 · kind: Hartley Rogers is the manager of HRHLA, which in turn is the managing member of HLAI. HRHLA, Mr. Rogers and a charitable entity that received a gift of Class B Units from Mr. Rogers each exchanged Class B Units (and corresponding shares of Class B common stock) with the Issuer pursuant to the Exchange Agreement. At the Issuer's election, the exchange was settled in cash.

F2 · balance_after: The Class B common stock does not carry economic value beyond the right to receive the par value of such stock upon liquidation, dissolution or exchange of those shares. However, the Class B common stock entitles its holder to ten votes per share on every matter submitted to the Issuer's stockholders for a vote.

F5 · ownership.nature: This row reports securities beneficially owned indirectly by HRHLA through its ownership of HLAI.

SEC source: 0001433642-24-000034 · wk-form4_1710199158.xml · nonDerivative · entry 1

HLA INVESTMENTS LLC · CIK 0001273303 · 10% owner

HRHLA, LLC · CIK 0001698063 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,818,657

F1 · kind: The following individuals, who are members of HLA Investments, LLC ("HLAI") and beneficially own Class A common stock of the Issuer through HLAI, exchanged Class B Units of Hamilton Lane Advisors, L.L.C. ("HLA") and corresponding shares of Class B common stock with the Issuer pursuant to an exchange agreement entered into at the time of and in connection with a reorganization incident to the Issuer's initial public offering (the "Exchange Agreement"): Hartley Rogers (through HRHLA, LLC ("HRHLA")), the 2008 Sexton Des. Trust FBO Laura Sexton, the 2008 Sexton Des. Trust FBO Matthew Sexton and Edward Whittemore. At the Issuer's election, the exchanges were settled in cash.

F2 · balance_after: The Class B common stock does not carry economic value beyond the right to receive the par value of such stock upon liquidation, dissolution or exchange of those shares. However, the Class B common stock entitles its holder to ten votes per share on every matter submitted to the Issuer's stockholders for a vote.

F3 · ownership.direct: The Class B common stock is owned directly by the HLAI member that beneficially owns the corresponding Class B Units.

SEC source: 0001433642-24-000040 · wk-form4_1710206265.xml · derivative · entry 5

SEXTON O GRIFFITH · CIK 0001338580 · Director · 10% owner

2008 Sexton Des. Trust FBO Laura Sexton · CIK 0001698725 · 10% owner

2008 Sexton Des. Trust FBO Matthew Sexton · CIK 0001698728 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By the 2008 Sexton Des. Trust FBO Matthew Sexton

Disclosed balance after: 316,233

Underlying: Class A Common Stock · 50,000 shares

Expires not disclosed

F5 · derivative.exercise_price: Pursuant to the Exchange Agreement, the Class B Units of HLA are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units of HLA do not have an expiration date.

F1 · kind: The 2008 Sexton Des. Trust FBO Laura Sexton (the "Laura Sexton Trust") and The 2008 Sexton Des. Trust FBO Matthew Sexton (the "Matthew Sexton Trust") each exchanged Class B Units (and corresponding shares of Class B common stock) with the Issuer pursuant to an exchange agreement (the "Exchange Agreement") entered into at the time of and in connection with a reorganization incident to the Issuer's initial public offering. At the Issuer's election, the exchange was settled in cash.

F5 · derivative.exercise_date: Pursuant to the Exchange Agreement, the Class B Units of HLA are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units of HLA do not have an expiration date.

F5 · derivative.expiration_date: Pursuant to the Exchange Agreement, the Class B Units of HLA are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units of HLA do not have an expiration date.

F7 · ownership.nature: The securities reported in this row are owned indirectly by the Matthew Sexton Trust through HLA Investments, LLC.

SEC source: 0001433642-24-000040 · wk-form4_1710206265.xml · derivative · entry 4

SEXTON O GRIFFITH · CIK 0001338580 · Director · 10% owner

2008 Sexton Des. Trust FBO Laura Sexton · CIK 0001698725 · 10% owner

2008 Sexton Des. Trust FBO Matthew Sexton · CIK 0001698728 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By the 2008 Sexton DES. Trust FBO Laura Sexton

Disclosed balance after: 316,233

Underlying: Class A Common Stock · 50,000 shares

Expires not disclosed

F5 · derivative.exercise_price: Pursuant to the Exchange Agreement, the Class B Units of HLA are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units of HLA do not have an expiration date.

F1 · kind: The 2008 Sexton Des. Trust FBO Laura Sexton (the "Laura Sexton Trust") and The 2008 Sexton Des. Trust FBO Matthew Sexton (the "Matthew Sexton Trust") each exchanged Class B Units (and corresponding shares of Class B common stock) with the Issuer pursuant to an exchange agreement (the "Exchange Agreement") entered into at the time of and in connection with a reorganization incident to the Issuer's initial public offering. At the Issuer's election, the exchange was settled in cash.

F5 · derivative.exercise_date: Pursuant to the Exchange Agreement, the Class B Units of HLA are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units of HLA do not have an expiration date.

F5 · derivative.expiration_date: Pursuant to the Exchange Agreement, the Class B Units of HLA are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units of HLA do not have an expiration date.

F6 · ownership.nature: The securities reported in this row are owned indirectly by the Laura Sexton Trust through HLA Investments, LLC.

SEC source: 0001433642-24-000040 · wk-form4_1710206265.xml · nonDerivative · entry 3

SEXTON O GRIFFITH · CIK 0001338580 · Director · 10% owner

2008 Sexton Des. Trust FBO Laura Sexton · CIK 0001698725 · 10% owner

2008 Sexton Des. Trust FBO Matthew Sexton · CIK 0001698728 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 316,233

F1 · kind: The 2008 Sexton Des. Trust FBO Laura Sexton (the "Laura Sexton Trust") and The 2008 Sexton Des. Trust FBO Matthew Sexton (the "Matthew Sexton Trust") each exchanged Class B Units (and corresponding shares of Class B common stock) with the Issuer pursuant to an exchange agreement (the "Exchange Agreement") entered into at the time of and in connection with a reorganization incident to the Issuer's initial public offering. At the Issuer's election, the exchange was settled in cash.

F2 · balance_after: The Class B common stock does not carry economic value beyond the right to receive the par value of such stock upon liquidation, dissolution or exchange of those shares. However, the Class B common stock entitles its holder to ten votes per share on every matter submitted to the Issuer's stockholders for a vote.

F4 · ownership.nature: The securities reported in this row are owned by the Matthew Sexton Trust. Mr. Sexton serves as trustee of this trust.