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 | 129,145 |
Reported balance
After 2019-09-12 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-09-12 · Other · Disposed 90,000 · Balance 129,145 F3: 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: 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. F5: Held on behalf of the reporting person by HL Management Investors, LLC through a family trust of which the reporting person is the settlor, trustee, and a beneficiary. |
| Class A Common StockSEC Table I · non-derivative | Direct | 11,922 |
Reported balance
Holding disclosure · report date 2019-09-12 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 11,922 F1: Total number of shares includes shares of Class A common stock held through a family trust of which the reporting person is the settlor, trustee, and a beneficiary. |
| Class B Common StockSEC Table I · non-derivative | Direct | 564,331 |
Reported balance
Holding disclosure · report date 2019-09-12 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 564,331 F2: 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. Total number of shares of Class B common stock are held through a family trust of which the reporting person is the settlor, trustee, and a beneficiary. |
| Class B UnitsSEC Table II · derivative / convertible security | IndirectSee footnote | 564,331 |
Reported balance
Holding disclosure · report date 2019-09-12 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 564,331 F3: 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: Held on behalf of the reporting person by HL Management Investors, LLC through a family trust of which the reporting person is the settlor, trustee, and a beneficiary. |
Filing footnotes · ownership attribution and instrument terms
F1: Total number of shares includes shares of Class A common stock held through a family trust of which the reporting person is the settlor, trustee, and a beneficiary.
F2: 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. Total number of shares of Class B common stock are held through a family trust of which the reporting person is the settlor, trustee, and a beneficiary.
F3: 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: 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.
F5: Held on behalf of the reporting person by HL Management Investors, LLC through a family trust of which the reporting person is the settlor, trustee, and a beneficiary.
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 17:49 UTC | Hamilton Lane INC HLNE · Entity 3823 | OtherClass C Units · Derivative | 90,000 | $60.01 | $5,400,900.00 |
DisclosureSEC source: 0001433642-19-000126 · wf-form4_156867053067181.xml · derivative · entry 3 Yett Paul R. · CIK 0001698029 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 129,145 Underlying: Class A Common Stock · 90,000 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 through a family trust of which the reporting person is the settlor, trustee, and a beneficiary. Read SEC document |
| March 14, 2019 Filed Mar 18, 2019 18:29 UTC | Hamilton Lane INC HLNE · Entity 3823 | OtherClass C Units · Derivative | 90,000 | $45.65 | $4,108,500.00 |
DisclosureSEC source: 0001433642-19-000036 · wf-form4_155294813669793.xml · derivative · entry 4 Yett Paul R. · CIK 0001698029 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 219,145 Underlying: Class A Common Stock · 90,000 shares Expires not disclosed F5 · 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. 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. F5 · 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. F5 · 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. F7 · ownership.nature: Held on behalf of the reporting person by HL Management Investors, LLC through a family trust of which the reporting person is the settlor, trustee, and a beneficiary. Read SEC document |
| March 14, 2019 Filed Mar 18, 2019 18:29 UTC | Hamilton Lane INC HLNE · Entity 3823 | Tax withholdingClass A Common Stock | 1,127 | $43.55 | $49,080.85 |
DisclosureSEC source: 0001433642-19-000036 · wf-form4_155294813669793.xml · nonDerivative · entry 2 Yett Paul R. · CIK 0001698029 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,922 F3 · kind: Shares delivered to the issuer for the payment of withholding taxes due upon the vesting of previously granted restricted stock awards. F2 · balance_after: Total number of shares includes shares of Class A common stock held through a family trust of which the reporting person is the settlor, trustee, and a beneficiary. Read SEC document |
| March 14, 2019 Filed Mar 18, 2019 18:29 UTC | Hamilton Lane INC HLNE · Entity 3823 | GrantClass A Common Stock | 1,180 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001433642-19-000036 · wf-form4_155294813669793.xml · nonDerivative · entry 1 Yett Paul R. · CIK 0001698029 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,049 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. F2 · balance_after: Total number of shares includes shares of Class A common stock held through a family trust of which the reporting person is the settlor, trustee, and a beneficiary. Read SEC document |
| September 17, 2018 Filed Sep 19, 2018 17:10 UTC | Hamilton Lane INC HLNE · Entity 3823 | OtherClass C Units · Derivative | 125,000 | $47.26 | $5,907,500.00 |
DisclosureSEC source: 0001433642-18-000100 · wf-form4_153739139852220.xml · derivative · entry 3 Yett Paul R. · CIK 0001698029 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 309,145 Underlying: Class A Common Stock · 125,000 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 14, 2018 Filed Mar 16, 2018 16:46 UTC | Hamilton Lane INC HLNE · Entity 3823 | Tax withholdingClass A Common Stock | 1,504 | $38.07 | $57,257.28 |
DisclosureSEC source: 0001698032-18-000004 · wf-form4_152123318257422.xml · nonDerivative · entry 2 Yett Paul R. · CIK 0001698029 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,869 F2 · 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 14, 2018 Filed Mar 16, 2018 16:46 UTC | Hamilton Lane INC HLNE · Entity 3823 | GrantClass A Common Stock | 1,236 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001698032-18-000004 · wf-form4_152123318257422.xml · nonDerivative · entry 1 Yett Paul R. · CIK 0001698029 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,373 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. Read SEC document |
| March 05, 2018 Filed Mar 7, 2018 19:38 UTC | Hamilton Lane INC HLNE · Entity 3823 | OtherClass C Units · Derivative | 300,000 | $32.79 | $9,837,000.00 |
DisclosureSEC source: 0001698396-18-000012 · wf-form4_152046951240922.xml · derivative · entry 3 Yett Paul R. · CIK 0001698029 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 434,145 Underlying: Class A Common Stock · 300,000 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 16:20 UTC | Hamilton Lane INC HLNE · Entity 3823 | Tax withholdingClass A Common Stock | 1,825 | $18.79 | $34,291.75 |
DisclosureSEC source: 0001433642-17-000050 · wf-form4_149090522916416.xml · nonDerivative · entry 1 Yett Paul R. · CIK 0001698029 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,017 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 16:58 UTC Amendment | Hamilton Lane INC HLNE · Entity 3823 | Tax withholdingClass A Common Stock | 2,684 | $18.79 | $50,432.36 |
DisclosureSEC source: 0001433642-17-000075 · wf-form4a_149125311633314.xml · nonDerivative · entry 1 Yett Paul R. · CIK 0001698029 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,158 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 18:13 UTC | Hamilton Lane INC HLNE · Entity 3823 | GrantRestricted Class A Common Stock | 3,034 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001698324-17-000026 · wf-form4_148970237791029.xml · nonDerivative · entry 1 Yett Paul R. · CIK 0001698029 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,821 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.