Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| HOULIHAN LOKEY, INC.HLI · Entity 3553 | GENERAL COUNSEL | September 10, 2026 | September 10, 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 September 10, 2026 · Filed September 10, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| CLASS A COMMON STOCKSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2026-09-10 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-09-10 · Conversion · Acquired 1,000 · Balance 1,000 F1: 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. Row 2 · 2026-09-10 · Sale · Disposed 1,000 · Balance 0 |
| CLASS B COMMON STOCKSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2026-09-10 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-09-10 · Conversion · Disposed 1,000 · Balance 0 F1: 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. |
| CLASS B COMMON STOCKSEC Table II · derivative / convertible security | IndirectBY HL VOTING TRUST | 51,328 |
Reported balance
Holding disclosure · report date 2026-09-10 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 51,328 F1: 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: The shares are held by the HL Voting Trust (the "Voting Trust"). The reporting person retains investment control and dispositive power over the shares deposited into the Voting Trust. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: The shares are held by the HL Voting Trust (the "Voting Trust"). The reporting person retains investment control and dispositive power over the shares deposited into the Voting Trust.
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 |
|---|---|---|---|---|---|---|
| May 15, 2018 Filed May 22, 2018 01:46 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | OtherCLASS B COMMON STOCK · Derivative | 2,642 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-18-000013 · wf-form4_152695356733974.xml · derivative · entry 4 CRAIN CHRISTOPHER M · CIK 0001649160 · GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Indirect · BY HL VOTING TRUST Disclosed balance after: 55,409 Underlying: CLASS A COMMON STOCK · 2,642 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 01:46 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | Tax withholdingCLASS B COMMON STOCK · Derivative | 251 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-18-000013 · wf-form4_152695356733974.xml · derivative · entry 3 CRAIN CHRISTOPHER M · CIK 0001649160 · GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,642 Underlying: CLASS A COMMON STOCK · 251 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 01:46 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | GrantCLASS B COMMON STOCK · Derivative | 505 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-18-000013 · wf-form4_152695356733974.xml · derivative · entry 2 CRAIN CHRISTOPHER M · CIK 0001649160 · GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,893 Underlying: CLASS A COMMON STOCK · 505 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 505 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 01:46 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | GrantCLASS B COMMON STOCK · Derivative | 2,388 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-18-000013 · wf-form4_152695356733974.xml · derivative · entry 1 CRAIN CHRISTOPHER M · CIK 0001649160 · GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,388 Underlying: CLASS A COMMON STOCK · 2,388 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 2,388 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 20:43 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS B COMMON STOCK · Derivative | 4,599 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-007961 · doc4.xml · derivative · entry 3 CRAIN CHRISTOPHER M · CIK 0001649160 · GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: CLASS A COMMON STOCK · 4,599 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 20:43 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | SaleCLASS A COMMON STOCK | 4,599 | $46.75 | $215,003.25 |
DisclosureSEC source: 0000899243-18-007961 · doc4.xml · nonDerivative · entry 2 CRAIN CHRISTOPHER M · CIK 0001649160 · GENERAL COUNSEL 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 20:43 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS A COMMON STOCK | 4,599 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-007961 · doc4.xml · nonDerivative · entry 1 CRAIN CHRISTOPHER M · CIK 0001649160 · GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,599 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 00:08 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS B COMMON STOCK · Derivative | 289 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-025553 · doc4.xml · derivative · entry 3 CRAIN CHRISTOPHER M · CIK 0001649160 · GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: CLASS A COMMON STOCK · 289 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 00:08 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | SaleCLASS A COMMON STOCK | 289 | $41.63 | $12,029.63 |
DisclosureSEC source: 0000899243-17-025553 · doc4.xml · nonDerivative · entry 2 CRAIN CHRISTOPHER M · CIK 0001649160 · GENERAL COUNSEL 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 00:08 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS A COMMON STOCK | 289 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-025553 · doc4.xml · nonDerivative · entry 1 CRAIN CHRISTOPHER M · CIK 0001649160 · GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 289 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 2, 2017 00:05 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS B COMMON STOCK · Derivative | 6,063 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-025165 · doc4.xml · derivative · entry 4 CRAIN CHRISTOPHER M · CIK 0001649160 · GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: CLASS A COMMON STOCK · 6,063 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 2, 2017 00:05 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | SaleCLASS A COMMON STOCK | 4,014 | $41.63 | $167,082.75 |
DisclosureSEC source: 0000899243-17-025165 · doc4.xml · nonDerivative · entry 3 CRAIN CHRISTOPHER M · CIK 0001649160 · GENERAL COUNSEL 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 2, 2017 00:05 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | Tax withholdingCLASS A COMMON STOCK | 2,049 | $41.28 | $84,582.72 |
DisclosureSEC source: 0000899243-17-025165 · doc4.xml · nonDerivative · entry 2 CRAIN CHRISTOPHER M · CIK 0001649160 · GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,014 Read SEC document |
| October 30, 2017 Filed Nov 2, 2017 00:05 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS A COMMON STOCK | 6,063 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-025165 · doc4.xml · nonDerivative · entry 1 CRAIN CHRISTOPHER M · CIK 0001649160 · GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,063 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 21:48 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | OtherCLASS B COMMON STOCK · Derivative | 2,552 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-17-000019 · wf-form4_149505770418774.xml · derivative · entry 2 CRAIN CHRISTOPHER M · CIK 0001649160 · GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Indirect · BY HL VOTING TRUST Disclosed balance after: 63,718 Underlying: CLASS A COMMON STOCK · 2,552 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 2,552 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 21:48 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | GrantCLASS B COMMON STOCK · Derivative | 2,552 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-17-000019 · wf-form4_149505770418774.xml · derivative · entry 1 CRAIN CHRISTOPHER M · CIK 0001649160 · GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,552 Underlying: CLASS A COMMON STOCK · 2,552 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 2,552 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 2,552 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 | 835 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-007914 · doc4.xml · derivative · entry 3 CRAIN CHRISTOPHER M · CIK 0001649160 · GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 835 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 | 835 | $29.05 | $24,256.75 |
DisclosureSEC source: 0000899243-17-007914 · doc4.xml · nonDerivative · entry 2 CRAIN CHRISTOPHER M · CIK 0001649160 · GENERAL COUNSEL 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 | 835 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-007914 · doc4.xml · nonDerivative · entry 1 CRAIN CHRISTOPHER M · CIK 0001649160 · GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 835 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 01:28 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionClass B Common Stock · Derivative | 7,448 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-004393 · doc4.xml · derivative · entry 4 CRAIN CHRISTOPHER M · CIK 0001649160 · GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 7,448 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 01:28 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | SaleClass A Common Stock | 5,569 | $29.25 | $162,893.25 |
DisclosureSEC source: 0000899243-17-004393 · doc4.xml · nonDerivative · entry 3 CRAIN CHRISTOPHER M · CIK 0001649160 · GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| February 14, 2017 Filed Feb 17, 2017 01:28 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | Tax withholdingClass A Common Stock | 1,879 | $32.30 | $60,691.70 |
DisclosureSEC source: 0000899243-17-004393 · doc4.xml · nonDerivative · entry 2 CRAIN CHRISTOPHER M · CIK 0001649160 · GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,569 Read SEC document |
| February 14, 2017 Filed Feb 17, 2017 01:28 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionClass A Common Stock | 7,448 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-004393 · doc4.xml · nonDerivative · entry 1 CRAIN CHRISTOPHER M · CIK 0001649160 · GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,448 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.