HLNE

SEC source: 0001433642-24-000040 · wk-form4_1710206265.xml · nonDerivative · entry 2

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.

F3 · ownership.nature: The securities reported in this row are owned by the Laura Sexton Trust. Mr. Sexton serves as trustee of this trust.

SEC source: 0001433642-24-000036 · wk-form4_1710204037.xml · derivative · entry 5

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 6,900,667

Underlying: Class A Common Stock · 369,850 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 do not have an expiration date.

F4 · 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 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 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 do not have an expiration date.

F3 · ownership.nature: These securities are owned directly by HLAI. Mr. Rogers is the manager of HRHLA, the managing member of HLAI.

SEC source: 0001433642-24-000036 · wk-form4_1710204037.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 6,900,667

F4 · 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. These securities are owned directly by HLA Investments, LLC ("HLAI"). The reporting person is the manager of HRHLA, LLC ("HRHLA"), the managing member of HLAI.

F3 · ownership.nature: These securities are owned directly by HLAI. Mr. Rogers is the manager of HRHLA, the managing member of HLAI.

SEC source: 0001433642-24-000032 · wk-form4_1710196416.xml · derivative · entry 7

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 195,317

Underlying: Class A Common Stock · 35,000 shares

Expires not disclosed

F4 · derivative.exercise_price: Pursuant to an Exchange Agreement entered into in connection with a reorganization incident to the Issuer's initial public offering, the Class B Units and Class C 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 and Class C Units of HLA do not have an expiration date.

F6 · kind: The reporting person exchanged Class C Units with the Issuer pursuant to the Exchange Agreement. At the Issuer's election, the exchange was settled in cash.

F4 · derivative.exercise_date: Pursuant to an Exchange Agreement entered into in connection with a reorganization incident to the Issuer's initial public offering, the Class B Units and Class C 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 and Class C Units of HLA do not have an expiration date.

F4 · derivative.expiration_date: Pursuant to an Exchange Agreement entered into in connection with a reorganization incident to the Issuer's initial public offering, the Class B Units and Class C 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 and Class C Units of HLA do not have an expiration date.

F5 · ownership.nature: Held on behalf of the reporting person by HL Management Investors, LLC.

SEC source: 0001433642-24-000030 · wk-form4_1710192566.xml · derivative · entry 2

Whittemore Edward B. · CIK 0001698930 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 120,000

Underlying: Class A Common Stock · 10,000 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: 0001433642-24-000030 · wk-form4_1710192566.xml · nonDerivative · entry 1

Whittemore Edward B. · CIK 0001698930 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 120,000

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: 0001433642-24-000029 · wk-form4_1710192555.xml · nonDerivative · entry 1

Oakville Number 2 Trust · CIK 0001699245 · 10% owner

Rysaffe Trustee Co (CI) Ltd · CIK 0001699649 · 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: 480,015

F1 · kind: Sold by the reporting person in a registered underwritten offering pursuant to an underwriting agreement dated March 4, 2024.

SEC source: 0001433642-24-000028 · wk-form4_1710192543.xml · derivative · entry 2

Giannini Kyera · CIK 0001761415 · 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: 0001433642-24-000028 · wk-form4_1710192543.xml · nonDerivative · entry 1

Giannini Kyera · CIK 0001761415 · 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: 0001433642-24-000036 · wk-form4_1710204037.xml · derivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 7,270,517

Underlying: Class A Common Stock · 30,150 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 do not have an expiration date.

F1 · kind: Mr. Rogers gifted Class B Units to a charitable entity on March 3, 2024, which subsequently exchanged such 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 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 do not have an expiration date.

F3 · ownership.nature: These securities are owned directly by HLAI. Mr. Rogers is the manager of HRHLA, the managing member of HLAI.

SEC source: 0001433642-24-000036 · wk-form4_1710204037.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 7,270,517

F1 · kind: Mr. Rogers gifted Class B Units to a charitable entity on March 3, 2024, which subsequently exchanged such 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. These securities are owned directly by HLA Investments, LLC ("HLAI"). The reporting person is the manager of HRHLA, LLC ("HRHLA"), the managing member of HLAI.

F3 · ownership.nature: These securities are owned directly by HLAI. Mr. Rogers is the manager of HRHLA, the managing member of HLAI.

SEC source: 0001433642-24-000004 · wk-form4_1706908169.xml · derivative · entry 4

Varma Atul · CIK 0001502623 · Senior Advisor

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 6,522 shares

Expires not disclosed

F3 · derivative.exercise_price: Each share of performance stock represented a contingent right to receive one share of Class A common stock. The performance stock would have vested upon the Issuer's Class A common stock achieving a specified price per share. The performance period of the performance stock would have ended on September 16, 2029.

F4 · shares: The unvested performance stock was forfeited upon Mr. Varma's termination of service with the Issuer on January 31, 2024.

F3 · derivative.exercise_date: Each share of performance stock represented a contingent right to receive one share of Class A common stock. The performance stock would have vested upon the Issuer's Class A common stock achieving a specified price per share. The performance period of the performance stock would have ended on September 16, 2029.

F3 · derivative.expiration_date: Each share of performance stock represented a contingent right to receive one share of Class A common stock. The performance stock would have vested upon the Issuer's Class A common stock achieving a specified price per share. The performance period of the performance stock would have ended on September 16, 2029.

SEC source: 0001433642-24-000004 · wk-form4_1706908169.xml · nonDerivative · entry 3

Varma Atul · CIK 0001502623 · Senior Advisor

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,936

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: 0001433642-24-000004 · wk-form4_1706908169.xml · nonDerivative · entry 2

Varma Atul · CIK 0001502623 · Senior Advisor

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,909

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: 0001433642-24-000032 · wk-form4_1710196416.xml · nonDerivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,903

F2 · 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: 0001433642-24-000046 · wk-form4_1710795804.xml · nonDerivative · entry 1

Carl Drew Thomas · CIK 0001972135 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 228

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: 0001433642-23-000102 · wk-form4_1699996436.xml · nonDerivative · entry 3

Carl Drew Thomas · CIK 0001972135 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 203

SEC source: 0001433642-23-000102 · wk-form4_1699996436.xml · nonDerivative · entry 2

Carl Drew Thomas · CIK 0001972135 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 703

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: 0001433642-24-000004 · wk-form4_1706908169.xml · nonDerivative · entry 1

Varma Atul · CIK 0001502623 · Senior Advisor

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,854

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: 0001433642-24-000032 · wk-form4_1710196416.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: 52,858

F2 · 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: 0001433642-23-000091 · wk-form4_1695154023.xml · nonDerivative · entry 1

Graves Reynoldo Vann · CIK 0001851033 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,348

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.

F1 · price: 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: 0001433642-23-000093 · wk-form4_1695154173.xml · nonDerivative · entry 1

VARON LESLIE F · CIK 0001207403 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,323

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.

F1 · price: 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: 0001433642-23-000092 · wk-form4_1695154103.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,598

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.

F1 · price: 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: 0001433642-23-000080 · wk-form4_1692389115.xml · nonDerivative · entry 3

Varma Atul · CIK 0001502623 · Senior Advisor

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,786

SEC source: 0001433642-23-000080 · wk-form4_1692389115.xml · nonDerivative · entry 2

Varma Atul · CIK 0001502623 · Senior Advisor

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,245

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: 0001433642-23-000102 · wk-form4_1699996436.xml · nonDerivative · entry 1

Carl Drew Thomas · CIK 0001972135 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 676

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: 0001433642-24-000032 · wk-form4_1710196416.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: 52,809

F2 · 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: 0001433642-23-000038 · wf-form4_168176236083370.xml · nonDerivative · entry 2

Donohue Michael T. · CIK 0001698304 · Managing Director & Controller · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,345

F2 · shares: Represents unvested shares under prior equity awards that were forfeited to the Issuer, pursuant to the Issuer's Amended & Restated 2017 Equity Incentive Plan, upon the reporting person's termination of employment.

SEC source: 0001433642-23-000038 · wf-form4_168176236083370.xml · nonDerivative · entry 1

Donohue Michael T. · CIK 0001698304 · Managing Director & Controller · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,154

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: 0001433642-23-000080 · wk-form4_1692389115.xml · nonDerivative · entry 1

Varma Atul · CIK 0001502623 · Senior Advisor

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,167

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: 0001433642-23-000030 · wf-form4_167899735418773.xml · nonDerivative · entry 1

Delgado-Moreira Juan · CIK 0001698040 · Vice Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,259,452

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: 0001433642-23-000031 · wf-form4_167899737901441.xml · nonDerivative · entry 2

Gavalis Lydia · CIK 0001698058 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,848

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: 0001433642-23-000031 · wf-form4_167899737901441.xml · nonDerivative · entry 1

Gavalis Lydia · CIK 0001698058 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,300

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: 0001433642-23-000027 · wf-form4_167899730190393.xml · nonDerivative · entry 2

Hirsch Erik R. · CIK 0001698098 · Director · Vice Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,771

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: 0001433642-23-000027 · wf-form4_167899730190393.xml · nonDerivative · entry 1

Hirsch Erik R. · CIK 0001698098 · Director · Vice Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,873

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: 0001433642-23-000032 · wf-form4_167899740185222.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,503

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: 0001433642-23-000029 · wf-form4_167899733686148.xml · nonDerivative · entry 6

Donohue Michael T. · CIK 0001698304 · Managing Director & Controller · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,071

F3 · 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: 0001433642-23-000029 · wf-form4_167899733686148.xml · nonDerivative · entry 5

Donohue Michael T. · CIK 0001698304 · Managing Director & Controller · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,051

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: 0001433642-23-000028 · wf-form4_167899731729415.xml · nonDerivative · entry 4

Varma Atul · CIK 0001502623 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,084

F3 · 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: 0001433642-23-000028 · wf-form4_167899731729415.xml · nonDerivative · entry 3

Varma Atul · CIK 0001502623 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,957

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: 0001433642-23-000019 · wf-form4_167840986435547.xml · derivative · entry 4

Giannini Mario L · CIK 0001698053 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 449,595

Underlying: Class A Common Stock · 500,000 shares

Expires not disclosed

F4 · 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.

F4 · 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.

F4 · 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: 0001433642-23-000019 · wf-form4_167840986435547.xml · nonDerivative · entry 2

Giannini Mario L · CIK 0001698053 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 449,595

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: 0001433642-23-000020 · wf-form4_167840988053554.xml · nonDerivative · entry 1

Oakville Number 2 Trust · CIK 0001699245 · 10% owner

Rysaffe Trustee Co (CI) Ltd · CIK 0001699649 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 535,015

F1 · kind: Sold by the reporting person in a registered underwritten offering pursuant to an underwriting agreement dated March 6, 2023.

SEC source: 0001433642-23-000029 · wf-form4_167899733686148.xml · nonDerivative · entry 4

Donohue Michael T. · CIK 0001698304 · Managing Director & Controller · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,502

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: 0001433642-23-000028 · wf-form4_167899731729415.xml · nonDerivative · entry 2

Varma Atul · CIK 0001502623 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,473

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: 0001433642-22-000063 · wf-form4_166786038841044.xml · nonDerivative · entry 1

Graves Reynoldo Vann · CIK 0001851033 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 256

SEC source: 0001433642-23-000029 · wf-form4_167899733686148.xml · nonDerivative · entry 3

Donohue Michael T. · CIK 0001698304 · Managing Director & Controller · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,462

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: 0001433642-23-000028 · wf-form4_167899731729415.xml · nonDerivative · entry 1

Varma Atul · CIK 0001502623 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,433

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: 0001433642-22-000051 · wf-form4_166370531032930.xml · derivative · entry 2

Gavalis Lydia · CIK 0001698058 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,522

Underlying: Class A Common Stock · 6,522 shares

Expires not disclosed

F1 · 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, 2029.

F1 · 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, 2029.

F1 · 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, 2029.

SEC source: 0001433642-22-000052 · wf-form4_166370532578296.xml · derivative · entry 3

Varma Atul · CIK 0001502623 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,522

Underlying: Class A Common Stock · 6,522 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, 2029.

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, 2029.

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, 2029.