Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Hamilton Lane INCHLNE · Entity 3823 | 10% owner | September 12, 2019 | September 16, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Hamilton Lane INC
Report date September 12, 2019 · Filed September 16, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class C UnitsSEC Table II · derivative / convertible security | IndirectSee footnote | 58,697 |
Reported balance
After 2019-09-12 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-09-12 · Other · Disposed 49,389 · Balance 58,697 F2: Pursuant to an Exchange Agreement entered into in connection with a reorganization incident to the Issuer's initial public offering (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: 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: Held on behalf of the reporting person by HL Management Investors, LLC. |
| Class B Common StockSEC Table I · non-derivative | Direct | 41,303 |
Reported balance
Holding disclosure · report date 2019-09-12 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 41,303 F1: 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. |
| Class B UnitsSEC Table II · derivative / convertible security | IndirectSee footnote | 41,303 |
Reported balance
Holding disclosure · report date 2019-09-12 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 41,303 F2: Pursuant to an Exchange Agreement entered into in connection with a reorganization incident to the Issuer's initial public offering (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: Held on behalf of the reporting person by HL Management Investors, LLC. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: Pursuant to an Exchange Agreement entered into in connection with a reorganization incident to the Issuer's initial public offering (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: 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: Held on behalf of the reporting person by HL Management Investors, LLC.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 12, 2019 Filed Sep 16, 2019 21:49 UTC | Hamilton Lane INC HLNE · Entity 3823 | OtherClass C Units · Derivative | 49,389 | $60.01 | $2,963,833.89 |
DisclosureSEC source: 0001433642-19-000127 · wf-form4_156867057191749.xml · derivative · entry 2 Kelly Michael John · CIK 0001698486 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 58,697 Underlying: Class A Common Stock · 49,389 shares Expires not disclosed F2 · derivative.exercise_price: Pursuant to an Exchange Agreement entered into in connection with a reorganization incident to the Issuer's initial public offering (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 · 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. F2 · derivative.exercise_date: Pursuant to an Exchange Agreement entered into in connection with a reorganization incident to the Issuer's initial public offering (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. F2 · derivative.expiration_date: Pursuant to an Exchange Agreement entered into in connection with a reorganization incident to the Issuer's initial public offering (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. Read SEC document |
| June 05, 2019 Filed Jun 6, 2019 20:26 UTC | Hamilton Lane INC HLNE · Entity 3823 | SaleClass A Common Stock | 3,792 | $52.79 | $200,179.68 |
DisclosureSEC source: 0001433642-19-000073 · wf-form4_155985274728718.xml · nonDerivative · entry 1 Kelly Michael John · CIK 0001698486 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $52.74 to $52.83. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| December 05, 2018 Filed May 15, 2019 11:27 UTC | Hamilton Lane INC HLNE · Entity 3823 | OtherClass C Units · Derivative | 43,800 | $0.00 | $0.00 |
DisclosureSEC source: 0001433642-19-000059 · wf-form5_155791962563341.xml · derivative · entry 4 Kelly Michael John · CIK 0001698486 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 108,086 Underlying: Class A Common Stock · 43,800 shares Expires not disclosed F3 · derivative.exercise_price: Pursuant to the Exchange Agreement, the Class B Units and Class C 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 and Class C Units of HLA do not have an expiration date. F1 · kind: Pursuant to a domestic relations order, the reporting person transferred to his ex-spouse 3,792 shares of the Issuer's Class A common stock, 41,302 Class B units of Hamilton Lane Advisors, L.L.C. ("HLA") (and a corresponding number of shares of the Issuer's Class B common stock) and 43,800 Class C units of HLA. The reporting person no longer reports any securities owned by his former spouse. F3 · derivative.exercise_date: Pursuant to the Exchange Agreement, the Class B Units and Class C 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 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 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. Read SEC document |
| December 05, 2018 Filed May 15, 2019 11:27 UTC | Hamilton Lane INC HLNE · Entity 3823 | OtherClass B Units · Derivative | 41,302 | $0.00 | $0.00 |
DisclosureSEC source: 0001433642-19-000059 · wf-form5_155791962563341.xml · derivative · entry 3 Kelly Michael John · CIK 0001698486 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 41,303 Underlying: Class A Common Stock · 41,302 shares Expires not disclosed F3 · derivative.exercise_price: Pursuant to the Exchange Agreement, the Class B Units and Class C 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 and Class C Units of HLA do not have an expiration date. F1 · kind: Pursuant to a domestic relations order, the reporting person transferred to his ex-spouse 3,792 shares of the Issuer's Class A common stock, 41,302 Class B units of Hamilton Lane Advisors, L.L.C. ("HLA") (and a corresponding number of shares of the Issuer's Class B common stock) and 43,800 Class C units of HLA. The reporting person no longer reports any securities owned by his former spouse. F3 · derivative.exercise_date: Pursuant to the Exchange Agreement, the Class B Units and Class C 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 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 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. Read SEC document |
| December 05, 2018 Filed May 15, 2019 11:27 UTC | Hamilton Lane INC HLNE · Entity 3823 | OtherClass B Common Stock | 41,302 | $0.00 | $0.00 |
DisclosureSEC source: 0001433642-19-000059 · wf-form5_155791962563341.xml · nonDerivative · entry 2 Kelly Michael John · CIK 0001698486 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,303 F1 · kind: Pursuant to a domestic relations order, the reporting person transferred to his ex-spouse 3,792 shares of the Issuer's Class A common stock, 41,302 Class B units of Hamilton Lane Advisors, L.L.C. ("HLA") (and a corresponding number of shares of the Issuer's Class B common stock) and 43,800 Class C units of HLA. The reporting person no longer reports any securities owned by his former spouse. 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. Read SEC document |
| December 05, 2018 Filed May 15, 2019 11:27 UTC | Hamilton Lane INC HLNE · Entity 3823 | OtherClass A Common Stock | 3,792 | $0.00 | $0.00 |
DisclosureSEC source: 0001433642-19-000059 · wf-form5_155791962563341.xml · nonDerivative · entry 1 Kelly Michael John · CIK 0001698486 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,792 F1 · kind: Pursuant to a domestic relations order, the reporting person transferred to his ex-spouse 3,792 shares of the Issuer's Class A common stock, 41,302 Class B units of Hamilton Lane Advisors, L.L.C. ("HLA") (and a corresponding number of shares of the Issuer's Class B common stock) and 43,800 Class C units of HLA. The reporting person no longer reports any securities owned by his former spouse. Read SEC document |
| September 17, 2018 Filed Sep 19, 2018 21:09 UTC | Hamilton Lane INC HLNE · Entity 3823 | OtherClass C Units · Derivative | 150,000 | $47.26 | $7,089,000.00 |
DisclosureSEC source: 0001433642-18-000099 · wf-form4_153739135347236.xml · derivative · entry 3 Kelly Michael John · CIK 0001698486 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 151,886 Underlying: Class A Common Stock · 150,000 shares Expires not disclosed F2 · derivative.exercise_price: Pursuant to an Exchange Agreement entered into in connection with a reorganization incident to the Issuer's initial public offering (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 · 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. F2 · derivative.exercise_date: Pursuant to an Exchange Agreement entered into in connection with a reorganization incident to the Issuer's initial public offering (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. F2 · derivative.expiration_date: Pursuant to an Exchange Agreement entered into in connection with a reorganization incident to the Issuer's initial public offering (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. Read SEC document |
| March 30, 2018 Filed Apr 2, 2018 20:06 UTC | Hamilton Lane INC HLNE · Entity 3823 | Disposition to issuerClass A Common Stock | 7,544 | $0.00 | $0.00 |
DisclosureSEC source: 0001433642-18-000026 · wf-form4_152269956861755.xml · nonDerivative · entry 1 Kelly Michael John · CIK 0001698486 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,584 F1 · kind: Shares forfeited to the Issuer pursuant to the Issuer's 2017 Equity Incentive Plan in connection with the reporting person's retirement from the company. Read SEC document |
| March 14, 2018 Filed Mar 16, 2018 20:35 UTC | Hamilton Lane INC HLNE · Entity 3823 | Tax withholdingClass A Common Stock | 1,973 | $38.07 | $75,112.11 |
DisclosureSEC source: 0001698324-18-000026 · wf-form4_152123250550619.xml · nonDerivative · entry 1 Kelly Michael John · CIK 0001698486 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,128 F1 · kind: Shares delivered to the issuer for the payment of withholding taxes due upon the vesting of previously granted restricted stock awards. Read SEC document |
| March 05, 2018 Filed Mar 8, 2018 00:49 UTC | Hamilton Lane INC HLNE · Entity 3823 | OtherClass C Units · Derivative | 67,851 | $32.79 | $2,224,834.29 |
DisclosureSEC source: 0001698304-18-000002 · wf-form4_152047017611915.xml · derivative · entry 3 Kelly Michael John · CIK 0001698486 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 301,886 Underlying: Class A Common Stock · 67,851 shares Expires not disclosed F3 · derivative.exercise_price: Pursuant to an Exchange Agreement entered into in connection with a reorganization incident to the Issuer's initial public offering (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 · 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 an Exchange Agreement entered into in connection with a reorganization incident to the Issuer's initial public offering (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 an Exchange Agreement entered into in connection with a reorganization incident to the Issuer's initial public offering (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 · ownership.nature: Held on behalf of the reporting person by HL Management Investors, LLC. Read SEC document |
| March 28, 2017 Filed Mar 30, 2017 20:21 UTC | Hamilton Lane INC HLNE · Entity 3823 | Tax withholdingClass A Common Stock | 2,619 | $18.79 | $49,211.01 |
DisclosureSEC source: 0001433642-17-000053 · wf-form4_149090528656415.xml · nonDerivative · entry 1 Kelly Michael John · CIK 0001698486 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,877 F1 · kind: Shares delivered to the issuer for the payment of witholding taxes due upon the vesting of restricted stock previously granted. Read SEC document |
| March 28, 2017 Filed Apr 3, 2017 20:58 UTC Amendment | Hamilton Lane INC HLNE · Entity 3823 | Tax withholdingClass A Common Stock | 3,851 | $18.79 | $72,360.29 |
DisclosureSEC source: 0001433642-17-000074 · wf-form4a_149125309867224.xml · nonDerivative · entry 1 Kelly Michael John · CIK 0001698486 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,645 F1 · kind: Shares delivered to the issuer for the payment of witholding taxes due upon the vesting of restricted stock previously granted. F2 · shares: Due to an administrative error, the number of shares of Class A common stock reported as delivered to the issuer for payment of witholding taxes in the original Form 4 filing on March 30, 2017 was underreported. This amendment is being filed solely to correct the affected line in Table I. F2 · balance_after: Due to an administrative error, the number of shares of Class A common stock reported as delivered to the issuer for payment of witholding taxes in the original Form 4 filing on March 30, 2017 was underreported. This amendment is being filed solely to correct the affected line in Table I. Read SEC document |
| March 14, 2017 Filed Mar 16, 2017 22:11 UTC | Hamilton Lane INC HLNE · Entity 3823 | GrantRestricted Class A Common Stock | 4,303 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001698324-17-000021 · wf-form4_148970228253911.xml · nonDerivative · entry 1 Kelly Michael John · CIK 0001698486 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,952 F1 · shares: Represents the number of 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: Represents the number of 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.