Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| HOULIHAN LOKEY, INC.HLI · Entity 3553 | Chief Financial Officer | August 03, 2026 | August 05, 2026 |
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.
HOULIHAN LOKEY, INC.
Report date August 03, 2026 · Filed August 05, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| CLASS A COMMON STOCKSEC Table I · non-derivative | Direct | 4,020 |
Reported balance
After 2026-08-03 transaction · row 1
1 source rowRow 1 · 2026-08-03 · Purchase · Acquired 4,020 · Balance 4,020 F1: Per share price reflects the weighted average price in a series of open market purchases on August 3, 2026 at prices ranging from $122.96 per share to $126.07 per share. The reporting person undertakes to provide to Houlihan Lokey, Inc., and security holder of Houlihan Lokey, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range identified in this footnote. |
Filing footnotes · ownership attribution and instrument terms
F1: Per share price reflects the weighted average price in a series of open market purchases on August 3, 2026 at prices ranging from $122.96 per share to $126.07 per share. The reporting person undertakes to provide to Houlihan Lokey, Inc., and security holder of Houlihan Lokey, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range identified in this footnote.
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 |
|---|---|---|---|---|---|---|
| April 30, 2019 Filed May 2, 2019 21:08 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | Tax withholdingCLASS B COMMON STOCK · Derivative | 725 | $49.32 | $35,757.00 |
DisclosureSEC source: 0001302215-19-000017 · wf-form4_155683131130398.xml · derivative · entry 1 ALLEY J LINDSEY · CIK 0001649209 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · BY HL VOTING TRUST Disclosed balance after: 144,345 Underlying: CLASS A COMMON STOCK · 725 shares Expires not disclosed F1 · derivative.exercise_price: Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. F1 · derivative.exercise_date: Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. F1 · derivative.expiration_date: Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. F2 · ownership.direct: Represents shares of Class B Common Stock deposited into the HL Voting Trust (the "Voting Trust"). The reporting person retains investment control and dispositive power over the shares deposited into the Voting Trust. Read SEC document |
| February 01, 2019 Filed Feb 4, 2019 21:33 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | SaleCLASS A COMMON STOCK | 6,211 | $44.27 | $274,985.81 |
DisclosureSEC source: 0001302215-19-000006 · wf-form4_154931602477637.xml · nonDerivative · entry 3 ALLEY J LINDSEY · CIK 0001649209 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F3 · price: Per share price reflects the weighted average price in a series of open market sales on February 1, 2019 at prices ranging from $44.11 per share to $44.43 per share. The reporting person undertakes to provide to Houlihan Lokey, Inc., any security holder of Houlihan Lokey, Inc., 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 range identified in this footnote. Read SEC document |
| January 31, 2019 Filed Feb 4, 2019 21:33 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS B COMMON STOCK · Derivative | 8,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-19-000006 · wf-form4_154931602477637.xml · derivative · entry 4 ALLEY J LINDSEY · CIK 0001649209 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,000 Underlying: CLASS A COMMON STOCK · 8,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. F4 · derivative.exercise_date: Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. F4 · derivative.expiration_date: Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. Read SEC document |
| January 31, 2019 Filed Feb 4, 2019 21:33 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | SaleCLASS A COMMON STOCK | 1,789 | $44.25 | $79,170.41 |
DisclosureSEC source: 0001302215-19-000006 · wf-form4_154931602477637.xml · nonDerivative · entry 2 ALLEY J LINDSEY · CIK 0001649209 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,211 F2 · price: Per share price reflects the weighted average price in a series of open market sales on January 31, 2019 at prices ranging from $44.25 per share to $44.27 per share. The reporting person undertakes to provide to Houlihan Lokey, Inc., any security holder of Houlihan Lokey, Inc., 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 range identified in this footnote. Read SEC document |
| January 31, 2019 Filed Feb 4, 2019 21:33 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS A COMMON STOCK | 8,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-19-000006 · wf-form4_154931602477637.xml · nonDerivative · entry 1 ALLEY J LINDSEY · CIK 0001649209 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Represents Class A Common Stock received upon conversion of Class B Common Stock. Read SEC document |
| June 04, 2018 Filed Jun 4, 2018 21:27 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS B COMMON STOCK · Derivative | 13,895 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-014945 · doc4.xml · derivative · entry 3 ALLEY J LINDSEY · CIK 0001649209 · CHIEF FINANCIAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: CLASS A COMMON STOCK · 13,895 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610)) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. F3 · derivative.exercise_date: Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610)) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. F3 · derivative.expiration_date: Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610)) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. Read SEC document |
| June 04, 2018 Filed Jun 4, 2018 21:27 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | SaleCLASS A COMMON STOCK | 13,895 | $49.11 | $682,383.45 |
DisclosureSEC source: 0000899243-18-014945 · doc4.xml · nonDerivative · entry 2 ALLEY J LINDSEY · CIK 0001649209 · CHIEF FINANCIAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · price: Per share price reflects the offering price of $49.15 per share less the underwriter's discount. Read SEC document |
| June 04, 2018 Filed Jun 4, 2018 21:27 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS A COMMON STOCK | 13,895 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-014945 · doc4.xml · nonDerivative · entry 1 ALLEY J LINDSEY · CIK 0001649209 · CHIEF FINANCIAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,895 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Represents Class A Common Stock received upon conversion of Class B Common Stock on a one-for-one basis. Read SEC document |
| May 15, 2018 Filed May 22, 2018 01:44 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | OtherCLASS B COMMON STOCK · Derivative | 4,035 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-18-000012 · wf-form4_152695346814173.xml · derivative · entry 4 ALLEY J LINDSEY · CIK 0001649209 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · BY HL VOTING TRUST Disclosed balance after: 166,965 Underlying: CLASS A COMMON STOCK · 4,035 shares Expires not disclosed F1 · derivative.exercise_price: Class B common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Date (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. F4 · shares: Represents shares of Class B Common Stock deposited into the HL Voting Trust (the "Voting Trust"). The reporting person retains investment control and dispositive power over the shares deposited into the Voting Trust. F1 · derivative.exercise_date: Class B common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Date (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. F1 · derivative.expiration_date: Class B common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Date (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. F4 · ownership.direct: Represents shares of Class B Common Stock deposited into the HL Voting Trust (the "Voting Trust"). The reporting person retains investment control and dispositive power over the shares deposited into the Voting Trust. Read SEC document |
| May 15, 2018 Filed May 22, 2018 01:44 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | Tax withholdingCLASS B COMMON STOCK · Derivative | 502 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-18-000012 · wf-form4_152695346814173.xml · derivative · entry 3 ALLEY J LINDSEY · CIK 0001649209 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,035 Underlying: CLASS A COMMON STOCK · 502 shares Expires not disclosed F1 · derivative.exercise_price: Class B common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Date (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. F1 · derivative.exercise_date: Class B common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Date (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. F1 · derivative.expiration_date: Class B common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Date (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. Read SEC document |
| May 15, 2018 Filed May 22, 2018 01:44 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | GrantCLASS B COMMON STOCK · Derivative | 1,011 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-18-000012 · wf-form4_152695346814173.xml · derivative · entry 2 ALLEY J LINDSEY · CIK 0001649209 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,537 Underlying: CLASS A COMMON STOCK · 1,011 shares Expires not disclosed F1 · derivative.exercise_price: Class B common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Date (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. F3 · shares: On May 15, 2018, the Issuer issued 1,011 vested shares of Class B Common Stock to the reporting person upon vesting of fixed dollar awards pursuant to its 2016 Incentive Award Plan. F1 · derivative.exercise_date: Class B common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Date (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. F1 · derivative.expiration_date: Class B common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Date (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. Read SEC document |
| May 15, 2018 Filed May 22, 2018 01:44 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | GrantCLASS B COMMON STOCK · Derivative | 3,526 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-18-000012 · wf-form4_152695346814173.xml · derivative · entry 1 ALLEY J LINDSEY · CIK 0001649209 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,526 Underlying: CLASS A COMMON STOCK · 3,526 shares Expires not disclosed F1 · derivative.exercise_price: Class B common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Date (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. F2 · shares: On May 15, 2018, the Issuer granted 3,526 vested shares of Class B Common Stock to the reporting person pursuant to its 2016 Incentive Award Plan, which are subject to contractual restrictions on transfer which expire in four equal annual installments following the grant date. F1 · derivative.exercise_date: Class B common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Date (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. F1 · derivative.expiration_date: Class B common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Date (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. Read SEC document |
| March 15, 2018 Filed Mar 19, 2018 20:41 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS B COMMON STOCK · Derivative | 22,549 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-007957 · doc4.xml · derivative · entry 3 ALLEY J LINDSEY · CIK 0001649209 · CHIEF FINANCIAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: CLASS A COMMON STOCK · 22,549 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610)) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. F3 · derivative.exercise_date: Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610)) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. F3 · derivative.expiration_date: Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610)) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. Read SEC document |
| March 15, 2018 Filed Mar 19, 2018 20:41 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | SaleCLASS A COMMON STOCK | 22,549 | $46.75 | $1,054,165.75 |
DisclosureSEC source: 0000899243-18-007957 · doc4.xml · nonDerivative · entry 2 ALLEY J LINDSEY · CIK 0001649209 · CHIEF FINANCIAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · price: Per share price reflects the public offering price of $47.25 per share less the underwriters' discount. Read SEC document |
| March 15, 2018 Filed Mar 19, 2018 20:41 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS A COMMON STOCK | 22,549 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-007957 · doc4.xml · nonDerivative · entry 1 ALLEY J LINDSEY · CIK 0001649209 · CHIEF FINANCIAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,549 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Represents Class A Common Stock received upon conversion of Class B Common Stock. Read SEC document |
| November 03, 2017 Filed Nov 8, 2017 00:03 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS B COMMON STOCK · Derivative | 973 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-025547 · doc4.xml · derivative · entry 3 ALLEY J LINDSEY · CIK 0001649209 · CHIEF FINANCIAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: CLASS A COMMON STOCK · 973 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610)) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. F3 · derivative.exercise_date: Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610)) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. F3 · derivative.expiration_date: Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610)) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. Read SEC document |
| November 03, 2017 Filed Nov 8, 2017 00:03 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | SaleCLASS A COMMON STOCK | 973 | $41.63 | $40,501.13 |
DisclosureSEC source: 0000899243-17-025547 · doc4.xml · nonDerivative · entry 2 ALLEY J LINDSEY · CIK 0001649209 · CHIEF FINANCIAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · price: Per share price reflects the public offering price of $42.00 per share less the underwriters' discount. Read SEC document |
| November 03, 2017 Filed Nov 8, 2017 00:03 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS A COMMON STOCK | 973 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-025547 · doc4.xml · nonDerivative · entry 1 ALLEY J LINDSEY · CIK 0001649209 · CHIEF FINANCIAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 973 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Represents Class A Common Stock received upon conversion of Class B Common Stock. Read SEC document |
| October 30, 2017 Filed Nov 1, 2017 23:56 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS B COMMON STOCK · Derivative | 17,369 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-025157 · doc4.xml · derivative · entry 4 ALLEY J LINDSEY · CIK 0001649209 · CHIEF FINANCIAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: CLASS A COMMON STOCK · 17,369 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610)) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. F3 · derivative.exercise_date: Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610)) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. F3 · derivative.expiration_date: Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610)) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. Read SEC document |
| October 30, 2017 Filed Nov 1, 2017 23:56 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | SaleCLASS A COMMON STOCK | 13,538 | $41.63 | $563,519.25 |
DisclosureSEC source: 0000899243-17-025157 · doc4.xml · nonDerivative · entry 3 ALLEY J LINDSEY · CIK 0001649209 · CHIEF FINANCIAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · price: Per share price reflects the public offering price of $42.00 per share less the underwriters' discount. Read SEC document |
| October 30, 2017 Filed Nov 1, 2017 23:56 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | Tax withholdingCLASS A COMMON STOCK | 3,831 | $41.28 | $158,143.68 |
DisclosureSEC source: 0000899243-17-025157 · doc4.xml · nonDerivative · entry 2 ALLEY J LINDSEY · CIK 0001649209 · CHIEF FINANCIAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,538 Read SEC document |
| October 30, 2017 Filed Nov 1, 2017 23:56 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS A COMMON STOCK | 17,369 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-025157 · doc4.xml · nonDerivative · entry 1 ALLEY J LINDSEY · CIK 0001649209 · CHIEF FINANCIAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,369 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Represents Class A Common Stock received upon conversion of Class B Common Stock. Read SEC document |
| May 15, 2017 Filed May 17, 2017 21:49 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | OtherCLASS B COMMON STOCK · Derivative | 4,059 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-17-000021 · wf-form4_149505777045950.xml · derivative · entry 2 ALLEY J LINDSEY · CIK 0001649209 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · BY HL VOTING TRUST Disclosed balance after: 203,821 Underlying: CLASS A COMMON STOCK · 4,059 shares Expires not disclosed F1 · derivative.exercise_price: Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610) concerning the Issuer's initial public offering (the "Offering"). The Class B Common Stock has no expiration date. F3 · shares: Represents shares of Class B Common Stock deposited into the HL Voting Trust (the "Voting Trust"). The reporting person retains investment control and dispositive power over the shares deposited into the Voting Trust. F2 · derivative.exercise_date: On May 15, 2017, the Issuer granted 4,059 restricted shares of Class B Common Stock to the reporting person pursuant to its 2016 Incentive Award Plan, which vest in four equal annual installments following the grant date. F1 · derivative.expiration_date: Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610) concerning the Issuer's initial public offering (the "Offering"). The Class B Common Stock has no expiration date. Read SEC document |
| May 15, 2017 Filed May 17, 2017 21:49 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | GrantCLASS B COMMON STOCK · Derivative | 4,059 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-17-000021 · wf-form4_149505777045950.xml · derivative · entry 1 ALLEY J LINDSEY · CIK 0001649209 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,059 Underlying: CLASS A COMMON STOCK · 4,059 shares Expires not disclosed F1 · derivative.exercise_price: Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610) concerning the Issuer's initial public offering (the "Offering"). The Class B Common Stock has no expiration date. F2 · shares: On May 15, 2017, the Issuer granted 4,059 restricted shares of Class B Common Stock to the reporting person pursuant to its 2016 Incentive Award Plan, which vest in four equal annual installments following the grant date. F2 · derivative.exercise_date: On May 15, 2017, the Issuer granted 4,059 restricted shares of Class B Common Stock to the reporting person pursuant to its 2016 Incentive Award Plan, which vest in four equal annual installments following the grant date. F1 · derivative.expiration_date: Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610) concerning the Issuer's initial public offering (the "Offering"). The Class B Common Stock has no expiration date. Read SEC document |
| March 15, 2017 Filed Mar 17, 2017 17:00 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionClass B Common Stock · Derivative | 2,024 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-007915 · doc4.xml · derivative · entry 3 ALLEY J LINDSEY · CIK 0001649209 · CHIEF FINANCIAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 2,024 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610)) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. F2 · shares: Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610)) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. F2 · derivative.exercise_date: Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610)) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. F2 · derivative.expiration_date: Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610)) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. Read SEC document |
| March 15, 2017 Filed Mar 17, 2017 17:00 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | SaleClass A Common Stock | 2,024 | $29.05 | $58,797.20 |
DisclosureSEC source: 0000899243-17-007915 · doc4.xml · nonDerivative · entry 2 ALLEY J LINDSEY · CIK 0001649209 · CHIEF FINANCIAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| March 15, 2017 Filed Mar 17, 2017 17:00 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionClass A Common Stock | 2,024 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-007915 · doc4.xml · nonDerivative · entry 1 ALLEY J LINDSEY · CIK 0001649209 · CHIEF FINANCIAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,024 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Represents Class A Common Stock received upon conversion of Class B Common Stock. Read SEC document |
| February 14, 2017 Filed Feb 17, 2017 01:32 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionClass B Common Stock · Derivative | 15,986 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-004397 · doc4.xml · derivative · entry 4 ALLEY J LINDSEY · CIK 0001649209 · CHIEF FINANCIAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 15,986 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610)) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. F2 · shares: Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610)) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. F2 · derivative.exercise_date: Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610)) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. F2 · derivative.expiration_date: Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610)) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. Read SEC document |
| February 14, 2017 Filed Feb 17, 2017 01:32 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | SaleClass A Common Stock | 13,490 | $29.25 | $394,582.50 |
DisclosureSEC source: 0000899243-17-004397 · doc4.xml · nonDerivative · entry 3 ALLEY J LINDSEY · CIK 0001649209 · CHIEF FINANCIAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| February 14, 2017 Filed Feb 17, 2017 01:32 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | Tax withholdingClass A Common Stock | 2,496 | $32.30 | $80,620.80 |
DisclosureSEC source: 0000899243-17-004397 · doc4.xml · nonDerivative · entry 2 ALLEY J LINDSEY · CIK 0001649209 · CHIEF FINANCIAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,490 Read SEC document |
| February 14, 2017 Filed Feb 17, 2017 01:32 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionClass A Common Stock | 15,986 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-004397 · doc4.xml · nonDerivative · entry 1 ALLEY J LINDSEY · CIK 0001649209 · CHIEF FINANCIAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,986 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Represents Class A Common Stock received upon conversion of Class B Common Stock. Read SEC document |
| September 12, 2016 Filed Sep 13, 2016 19:54 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS B COMMON STOCK · Derivative | 4,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-16-000071 · wf-form4_147379647318130.xml · derivative · entry 3 ALLEY J LINDSEY · CIK 0001649209 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: CLASS A COMMON STOCK · 4,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. F2 · derivative.exercise_date: Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. F2 · derivative.expiration_date: Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. Read SEC document |
| September 12, 2016 Filed Sep 13, 2016 19:54 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | GiftCLASS A COMMON STOCK | 4,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-16-000071 · wf-form4_147379647318130.xml · nonDerivative · entry 2 ALLEY J LINDSEY · CIK 0001649209 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F3 · shares: On September 12, 2016, the reporting person made a charitable donation of 4,000 shares of Class B Common Stock. This was not a market transaction so no price was reported. No value was received for the donated shares. Read SEC document |
| September 12, 2016 Filed Sep 13, 2016 19:54 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS A COMMON STOCK | 4,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-16-000071 · wf-form4_147379647318130.xml · nonDerivative · entry 1 ALLEY J LINDSEY · CIK 0001649209 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Represents Class A Common Stock received upon conversion of Class B Common Stock. F2 · shares: Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610) concerning the Issuer's initial public offering. The Class B Common Stock has no expiration date. 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.