HLNE

SEC source: 0001433642-20-000123 · wf-form4_159968779415667.xml · nonDerivative · entry 1

SCHMERTZLER MICHAEL · CIK 0001288952 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 752,005

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 entered into at the time of and in connection with a reorganization incident to the Issuer's initial public offering (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.

SEC source: 0001433642-20-000121 · wf-form4_159968775053057.xml · derivative · entry 2

Whittemore Edward B. · CIK 0001698930 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 145,000

Underlying: Class A Common Stock · 11,880 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: 0001433642-20-000121 · wf-form4_159968775053057.xml · nonDerivative · entry 1

Whittemore Edward B. · CIK 0001698930 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,000

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: 0001433642-20-000120 · wf-form4_159968772831003.xml · derivative · entry 5

Sexton Barbara · CIK 0001699159 · 10% owner

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

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

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

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

10b5-1 filing: Not disclosed

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

Disclosed balance after: 466,233

Underlying: Class A Common Stock · 50,000 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 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, each 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.

F8 · ownership.nature: The securities reported in this row are owned indirectly by the Matthew Sexton Trust through HLA Investments, LLC. Mr. Sexton and Mrs. Barbara Sexton serve as trustees of this trust.

SEC source: 0001433642-20-000120 · wf-form4_159968772831003.xml · derivative · entry 4

Sexton Barbara · CIK 0001699159 · 10% owner

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

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

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

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

10b5-1 filing: Not disclosed

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

Disclosed balance after: 466,233

Underlying: Class A Common Stock · 50,000 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 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, each 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.

F7 · ownership.nature: The securities reported in this row are owned indirectly by the Laura Sexton Trust through HLA Investments, LLC. Mr. Sexton and Mrs. Barbara Sexton serve as trustees of this trust.

SEC source: 0001433642-20-000120 · wf-form4_159968772831003.xml · nonDerivative · entry 2

Sexton Barbara · CIK 0001699159 · 10% owner

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

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 466,233

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, each 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 · balance_after: The securities reported in this row are owned by the Matthew Sexton Trust. Mr. Sexton and Mrs. Barbara Sexton serve as trustees of this trust.

SEC source: 0001433642-20-000120 · wf-form4_159968772831003.xml · nonDerivative · entry 1

Sexton Barbara · CIK 0001699159 · 10% owner

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

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 466,233

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, each 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 · balance_after: The securities reported in this row are owned by the Laura Sexton Trust. Mr. Sexton and Mrs. Barbara Sexton serve as trustees of this trust.

SEC source: 0001433642-20-000119 · wf-form4_159968770872495.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: 710,015

F1 · kind: Sold by the reporting person in a registered underwritten offering pursuant to an underwriting agreement dated September 1, 2020.

SEC source: 0001433642-20-000125 · wf-form4_159968782943244.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 9,317,067

Underlying: Class A Common Stock · 200,000 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: Mr. Rogers gifted Class B Units to a charitable entity, 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 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.

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

SEC source: 0001433642-20-000125 · wf-form4_159968782943244.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 9,317,067

F1 · kind: Mr. Rogers gifted Class B Units to a charitable entity, 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: 0001433642-20-000096 · wf-form4_159838599529192.xml · nonDerivative · entry 1

Gavalis Lydia · CIK 0001698058 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,631

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

SEC source: 0001433642-20-000124 · wf-form4_159968781298001.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,926

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: 0001433642-20-000077 · wf-form4_159173563277741.xml · derivative · entry 2

Giannini Nicole · CIK 0001761400 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 288,648

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. ("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: 0001433642-20-000077 · wf-form4_159173563277741.xml · nonDerivative · entry 1

Giannini Nicole · CIK 0001761400 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 288,648

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: 0001433642-20-000073 · wf-form4_159173554248412.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: 1,449,595

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. ("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.

F4 · 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.

F4 · 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: 0001433642-20-000073 · wf-form4_159173554248412.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,449,595

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: 0001433642-20-000078 · wf-form4_159173565579422.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Class A Common Stock · 191,920 shares

Expires not disclosed

F3 · derivative.exercise_price: Pursuant to the Exchange Agreement, 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 · 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.

F3 · derivative.exercise_date: Pursuant to the Exchange Agreement, 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.

F3 · derivative.expiration_date: Pursuant to the Exchange Agreement, 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 · ownership.nature: Held on behalf of the reporting person by HL Management Investors, LLC.

SEC source: 0001433642-20-000078 · wf-form4_159173565579422.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,109,781

Underlying: Class A Common Stock · 308,080 shares

Expires not disclosed

F3 · derivative.exercise_price: Pursuant to the Exchange Agreement, 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.

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 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.

F3 · derivative.expiration_date: Pursuant to the Exchange Agreement, 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 · ownership.nature: Held on behalf of the reporting person by HL Management Investors, LLC.

SEC source: 0001433642-20-000078 · wf-form4_159173565579422.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,109,781

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: 0001433642-20-000076 · wf-form4_159173560989867.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: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 9,517,067

Underlying: Class A Common Stock · 600,000 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 do not have an expiration date.

F3 · kind: Hartley Rogers, the manager of HRHLA, the managing member of HLAI, 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.

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.

F4 · ownership.nature: This row reports securities beneficially owned indirectly by HRHLA through its ownership of HLAI.

SEC source: 0001433642-20-000076 · wf-form4_159173560989867.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: Not disclosed

Ownership: Direct

Disclosed balance after: 11,948,937

Underlying: Class A Common Stock · 755,000 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 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, Laurence Whittemore and Michael Schmertzler. At the Issuer's election, the exchanges were 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.

F2 · ownership.direct: The Class B common stock is owned directly by the HLAI member that beneficially owns the corresponding Class B Units.

SEC source: 0001433642-20-000076 · wf-form4_159173560989867.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: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 9,517,067

F3 · kind: Hartley Rogers, the manager of HRHLA, the managing member of HLAI, 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.

F4 · ownership.nature: This row reports securities beneficially owned indirectly by HRHLA through its ownership of HLAI.

SEC source: 0001433642-20-000076 · wf-form4_159173560989867.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: Not disclosed

Ownership: Direct

Disclosed balance after: 11,948,937

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, Laurence Whittemore and Michael Schmertzler. At the Issuer's election, the exchanges were settled in cash.

F2 · ownership.direct: The Class B common stock is owned directly by the HLAI member that beneficially owns the corresponding Class B Units.

SEC source: 0001433642-20-000083 · wf-form4_159173579046355.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 9,517,067

Underlying: Class A Common Stock · 500,000 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.

F4 · kind: The reporting person 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.

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.

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

SEC source: 0001433642-20-000083 · wf-form4_159173579046355.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 9,517,067

F4 · kind: The reporting person 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. 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: 0001433642-20-000082 · wf-form4_159173576641077.xml · derivative · entry 3

Lucey Kevin J. · CIK 0001698398 · Chief Operating Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 260,869

Underlying: Class A Common Stock · 100,000 shares

Expires not disclosed

F3 · derivative.exercise_price: Pursuant to the Exchange Agreement, 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.

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 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.

F3 · derivative.expiration_date: Pursuant to the Exchange Agreement, 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 · ownership.nature: Held on behalf of the reporting person by HL Management Investors, LLC.

SEC source: 0001433642-20-000082 · wf-form4_159173576641077.xml · nonDerivative · entry 1

Lucey Kevin J. · CIK 0001698398 · Chief Operating Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 260,869

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: 0001433642-20-000081 · wf-form4_159173573959569.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: 785,015

F1 · kind: Sold by the reporting person in a registered underwritten offering pursuant to an underwriting agreement dated June 2, 2020.

SEC source: 0001433642-20-000080 · wf-form4_159173571683500.xml · derivative · entry 2

Giannini Kyera · CIK 0001761415 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 288,648

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: 0001433642-20-000080 · wf-form4_159173571683500.xml · nonDerivative · entry 1

Giannini Kyera · CIK 0001761415 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 288,648

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: 0001433642-20-000079 · wf-form4_159173569081950.xml · derivative · entry 2

SCHMERTZLER MICHAEL · CIK 0001288952 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 802,005

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. 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 entered into at the time of and in connection with a reorganization incident to the Issuer's initial public offering (the "Exchange Agreement"). 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: 0001433642-20-000079 · wf-form4_159173569081950.xml · nonDerivative · entry 1

SCHMERTZLER MICHAEL · CIK 0001288952 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 802,005

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 entered into at the time of and in connection with a reorganization incident to the Issuer's initial public offering (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.

SEC source: 0001433642-20-000075 · wf-form4_159173558615204.xml · derivative · entry 2

Whittemore Laurence · CIK 0001699000 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 156,880

Underlying: Class A Common Stock · 5,000 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.

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

SEC source: 0001433642-20-000075 · wf-form4_159173558615204.xml · nonDerivative · entry 1

Whittemore Laurence · CIK 0001699000 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,880

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: 0001433642-20-000074 · wf-form4_159173556270641.xml · derivative · entry 5

Sexton Barbara · CIK 0001699159 · 10% owner

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

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

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

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

10b5-1 filing: Not disclosed

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

Disclosed balance after: 516,233

Underlying: Class A Common Stock · 50,000 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 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, each 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.

F8 · ownership.nature: The securities reported in this row are owned indirectly by the Matthew Sexton Trust through HLA Investments, LLC. Mr. Sexton and Mrs. Barbara Sexton serve as trustees of this trust.

SEC source: 0001433642-20-000074 · wf-form4_159173556270641.xml · derivative · entry 4

Sexton Barbara · CIK 0001699159 · 10% owner

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

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

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

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

10b5-1 filing: Not disclosed

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

Disclosed balance after: 516,233

Underlying: Class A Common Stock · 50,000 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 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, each 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.

F7 · ownership.nature: The securities reported in this row are owned indirectly by the Laura Sexton Trust through HLA Investments, LLC. Mr. Sexton and Mrs. Barbara Sexton serve as trustees of this trust.

SEC source: 0001433642-20-000074 · wf-form4_159173556270641.xml · nonDerivative · entry 2

Sexton Barbara · CIK 0001699159 · 10% owner

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

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 516,233

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, each 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 · balance_after: The securities reported in this row are owned by the Matthew Sexton Trust. Mr. Sexton and Mrs. Barbara Sexton serve as trustees of this trust.

SEC source: 0001433642-20-000074 · wf-form4_159173556270641.xml · nonDerivative · entry 1

Sexton Barbara · CIK 0001699159 · 10% owner

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

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 516,233

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, each 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 · balance_after: The securities reported in this row are owned by the Laura Sexton Trust. Mr. Sexton and Mrs. Barbara Sexton serve as trustees of this trust.

SEC source: 0001433642-20-000083 · wf-form4_159173579046355.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 10,017,067

Underlying: Class A Common Stock · 100,000 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: Mr. Rogers gifted Class B Units to a charitable entity, 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 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.

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

SEC source: 0001433642-20-000083 · wf-form4_159173579046355.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 10,017,067

F1 · kind: Mr. Rogers gifted Class B Units to a charitable entity, 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: 0001433642-20-000124 · wf-form4_159968781298001.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,834

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: 0001433642-20-000022 · wf-form4_158448136178124.xml · nonDerivative · entry 3

Stilman Randy M. · CIK 0001698035 · Managing Director, Finance · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,711

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: 0001433642-20-000026 · wf-form4_158448144994622.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,285,477

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.

F1 · price: 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: 0001433642-20-000027 · wf-form4_158448147248804.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,743

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: 0001433642-20-000029 · wf-form4_158448152016163.xml · nonDerivative · entry 2

Gavalis Lydia · CIK 0001698058 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,142

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: 0001433642-20-000029 · wf-form4_158448152016163.xml · nonDerivative · entry 1

Gavalis Lydia · CIK 0001698058 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,487

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.

F1 · price: 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: 0001433642-20-000024 · wf-form4_158448140592498.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,329

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: 0001433642-20-000024 · wf-form4_158448140592498.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,513

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.

F1 · price: 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: 0001433642-20-000030 · wf-form4_158448154205436.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,326

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: 0001433642-20-000030 · wf-form4_158448154205436.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,365

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.

F1 · price: 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.