Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Advanced Merger Partners, Inc.AMPI · Entity 141663 | Director · 10% owner | March 01, 2021 | March 02, 2021 |
| HOULIHAN LOKEY, INC.HLI · Entity 3553 | Director · CO-CHAIRMAN · 10% owner | May 15, 2026 | May 19, 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.
Advanced Merger Partners, Inc.
Report date March 01, 2021 · Filed March 02, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B Common StockSEC Table II · derivative / convertible security | IndirectSee Footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2021-03-01 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F1: The shares of Class B common stock have no expiration date and will automatically convert into shares of Class A common stock concurrently with or immediately following the consummation of the Issuer's initial business combination on a one-for-one basis, subject to adjustment as set forth in the Issuer's registration statement on Form S-1 (File No. 333-252624). F2: Includes up to 937,500 shares subject to forfeiture depending on the extent to which the underwriters' option to purchase additional units is exercised, if at all. F3: The securities are held directly by HLI Sponsor, LLC (the "Sponsor"). The Sponsor is managed by the Reporting Person and Saddle Point Management, L.P., of which Roy J. Katzovicz is the Chief Executive Officer. Accordingly, the Reporting Person and Mr. Katzovicz share voting and dispositive power over the shares of Class B common stock held by the Sponsor and may be deemed to beneficially own such shares. Each of the Reporting Person and Mr. Katzovicz disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares of Class B common stock have no expiration date and will automatically convert into shares of Class A common stock concurrently with or immediately following the consummation of the Issuer's initial business combination on a one-for-one basis, subject to adjustment as set forth in the Issuer's registration statement on Form S-1 (File No. 333-252624).
F2: Includes up to 937,500 shares subject to forfeiture depending on the extent to which the underwriters' option to purchase additional units is exercised, if at all.
F3: The securities are held directly by HLI Sponsor, LLC (the "Sponsor"). The Sponsor is managed by the Reporting Person and Saddle Point Management, L.P., of which Roy J. Katzovicz is the Chief Executive Officer. Accordingly, the Reporting Person and Mr. Katzovicz share voting and dispositive power over the shares of Class B common stock held by the Sponsor and may be deemed to beneficially own such shares. Each of the Reporting Person and Mr. Katzovicz disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
HOULIHAN LOKEY, INC.
Report date May 15, 2026 · Filed May 19, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| CLASS B COMMON STOCKSEC Table II · derivative / convertible security | IndirectBY HL VOTING TRUST | 1,061,766 |
Reported balance
After 2026-05-15 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-05-15 · Tax withholding · Disposed 4,619 · Balance 1,061,766 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: Represents shares withheld to cover taxes upon the vesting of existing awards under the Issuer's 2016 Incentive Award Plan. F3: The reporting person is a trustee of the HL Voting Trust (the "Voting Trust"). The trustees of the Voting Trust have shared voting control over the shares deposited into the Voting Trust. The reporting person has a pecuniary interest in and investment control over the shares reported herein. |
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: Represents shares withheld to cover taxes upon the vesting of existing awards under the Issuer's 2016 Incentive Award Plan.
F3: The reporting person is a trustee of the HL Voting Trust (the "Voting Trust"). The trustees of the Voting Trust have shared voting control over the shares deposited into the Voting Trust. The reporting person has a pecuniary interest in and investment control over the shares reported herein.
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 |
|---|---|---|---|---|---|---|
| December 09, 2019 Filed Dec 10, 2019 21:18 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS A COMMON STOCK | 3,962 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-19-000073 · wf-form4_157601270738313.xml · nonDerivative · entry 3 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,962 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: 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 |
| December 06, 2019 Filed Dec 10, 2019 21:18 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS B COMMON STOCK · Derivative | 366 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-19-000073 · wf-form4_157601270738313.xml · derivative · entry 5 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: CLASS A COMMON STOCK · 366 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. F1 · security: 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_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 |
| December 06, 2019 Filed Dec 10, 2019 21:18 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | SaleCLASS A COMMON STOCK | 366 | $49.01 | $17,937.66 |
DisclosureSEC source: 0001302215-19-000073 · wf-form4_157601270738313.xml · nonDerivative · entry 2 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · price: Per share price reflects the weighted average price in a series of open market sales on December 6, 2019 at prices ranging from $49.00 per share to $49.04 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 sold at each separate price within the range identified in this footnote. Read SEC document |
| December 06, 2019 Filed Dec 10, 2019 21:18 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS A COMMON STOCK | 366 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-19-000073 · wf-form4_157601270738313.xml · nonDerivative · entry 1 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 366 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: 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 |
| November 04, 2019 Filed Nov 4, 2019 21:20 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS B COMMON STOCK · Derivative | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-19-000065 · wf-form4_157290239695831.xml · derivative · entry 6 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: CLASS A COMMON STOCK · 20,000 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. 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 |
| November 04, 2019 Filed Nov 4, 2019 21:20 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | SaleCLASS A COMMON STOCK | 20,000 | $48.00 | $960,000.00 |
DisclosureSEC source: 0001302215-19-000065 · wf-form4_157290239695831.xml · nonDerivative · entry 4 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| November 04, 2019 Filed Nov 4, 2019 21:20 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS A COMMON STOCK | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-19-000065 · wf-form4_157290239695831.xml · nonDerivative · entry 3 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 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: 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 |
| November 01, 2019 Filed Nov 4, 2019 21:20 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS B COMMON STOCK · Derivative | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-19-000065 · wf-form4_157290239695831.xml · derivative · entry 5 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: CLASS A COMMON STOCK · 20,000 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. 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 |
| November 01, 2019 Filed Nov 4, 2019 21:20 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | SaleCLASS A COMMON STOCK | 20,000 | $47.50 | $950,000.00 |
DisclosureSEC source: 0001302215-19-000065 · wf-form4_157290239695831.xml · nonDerivative · entry 2 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| November 01, 2019 Filed Nov 4, 2019 21:20 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS A COMMON STOCK | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-19-000065 · wf-form4_157290239695831.xml · nonDerivative · entry 1 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 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: 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 |
| September 13, 2019 Filed Sep 17, 2019 20:46 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS B COMMON STOCK · Derivative | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-19-000056 · wf-form4_156875316623894.xml · derivative · entry 3 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: CLASS A COMMON STOCK · 20,000 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. 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 |
| September 13, 2019 Filed Sep 17, 2019 20:46 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | SaleCLASS A COMMON STOCK | 20,000 | $47.03 | $940,570.00 |
DisclosureSEC source: 0001302215-19-000056 · wf-form4_156875316623894.xml · nonDerivative · entry 2 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · price: Per share price reflects the weighted average price in a series of open market sales on September 13, 2019 at prices ranging from $47.00 per share to $47.07 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 sold at each separate price within the range identified in this footnote. Read SEC document |
| September 13, 2019 Filed Sep 17, 2019 20:46 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS A COMMON STOCK | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-19-000056 · wf-form4_156875316623894.xml · nonDerivative · entry 1 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 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: 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, 2019 Filed May 18, 2019 01:01 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | OtherCLASS B COMMON STOCK · Derivative | 6,492 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-19-000034 · wf-form4_155814130194370.xml · derivative · entry 3 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · BY HL VOTING TRUST Disclosed balance after: 1,458,285 Underlying: CLASS A COMMON STOCK · 6,492 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 is a trustee of the Voting Trust. The trustees of the Voting Trust have shared voting control over the shares deposited into the Voting Trust. The reporting person has a pecuniary interest in and investment control over the shares reported herein. 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 is a trustee of the Voting Trust. The trustees of the Voting Trust have shared voting control over the shares deposited into the Voting Trust. The reporting person has a pecuniary interest in and investment control over the shares reported herein. Read SEC document |
| May 15, 2019 Filed May 18, 2019 01:01 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | Tax withholdingCLASS B COMMON STOCK · Derivative | 5,333 | $47.22 | $251,824.26 |
DisclosureSEC source: 0001302215-19-000034 · wf-form4_155814130194370.xml · derivative · entry 2 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,492 Underlying: CLASS A COMMON STOCK · 5,333 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: Represents shares withheld to cover taxes upon the vesting of existing awards under the Issuer's 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, 2019 Filed May 18, 2019 01:01 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | GrantCLASS B COMMON STOCK · Derivative | 11,825 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-19-000034 · wf-form4_155814130194370.xml · derivative · entry 1 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,825 Underlying: CLASS A COMMON STOCK · 11,825 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, 2019, the Issuer granted 11,825 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.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 |
| April 30, 2019 Filed May 2, 2019 21:05 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | Tax withholdingCLASS B COMMON STOCK · Derivative | 3,138 | $49.32 | $154,766.16 |
DisclosureSEC source: 0001302215-19-000015 · wf-form4_155683113601832.xml · derivative · entry 1 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · BY HL VOTING TRUST Disclosed balance after: 1,451,793 Underlying: CLASS A COMMON STOCK · 3,138 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: The reporting person is a trustee of the HL Voting Trust (the "Voting Trust"). The trustees of the Voting Trust have shared voting control over the shares deposited into the Voting Trust. The reporting person has a pecuniary interest in and investment control over the shares reported herein. Read SEC document |
| May 15, 2018 Filed May 22, 2018 01:39 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | OtherCLASS B COMMON STOCK · Derivative | 9,152 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-18-000009 · wf-form4_152695314882755.xml · derivative · entry 2 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · BY HL VOTING TRUST Disclosed balance after: 1,454,931 Underlying: CLASS A COMMON STOCK · 9,152 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: 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. F4 · shares: The reporting person is a trustee of the HL Voting Trust (the "Voting Trust"). The trustees of the Voting Trust have shared voting control over the shares deposited into the Voting Trust. The reporting person has a pecuniary interest in and investment control over the shares reported herein. 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. F3 · 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. F4 · ownership.direct: The reporting person is a trustee of the HL Voting Trust (the "Voting Trust"). The trustees of the Voting Trust have shared voting control over the shares deposited into the Voting Trust. The reporting person has a pecuniary interest in and investment control over the shares reported herein. Read SEC document |
| May 15, 2018 Filed May 22, 2018 01:39 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | GrantCLASS B COMMON STOCK · Derivative | 9,152 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-18-000009 · wf-form4_152695314882755.xml · derivative · entry 1 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,152 Underlying: CLASS A COMMON STOCK · 9,152 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 9,152 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 20:42 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS B COMMON STOCK · Derivative | 20,728 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-007958 · doc4.xml · derivative · entry 3 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: CLASS A COMMON STOCK · 20,728 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 20:42 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | SaleCLASS A COMMON STOCK | 20,728 | $46.75 | $969,034.00 |
DisclosureSEC source: 0000899243-18-007958 · doc4.xml · nonDerivative · entry 2 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 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 20:42 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS A COMMON STOCK | 20,728 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-007958 · doc4.xml · nonDerivative · entry 1 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,728 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 |
| December 22, 2017 Filed Dec 26, 2017 18:02 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS B COMMON STOCK · Derivative | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-17-000056 · wf-form4_151431134709127.xml · derivative · entry 3 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: CLASS A COMMON STOCK · 7,500 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. 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 |
| December 22, 2017 Filed Dec 26, 2017 18:02 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | GiftCLASS A COMMON STOCK | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-17-000056 · wf-form4_151431134709127.xml · nonDerivative · entry 2 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · shares: On December 22, 2017, the reporting person made a charitable donation of 7,500 shares of Class B Common Stock. No value was received for the donated shares. Read SEC document |
| December 22, 2017 Filed Dec 26, 2017 18:02 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS A COMMON STOCK | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-17-000056 · wf-form4_151431134709127.xml · nonDerivative · entry 1 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 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: 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 |
| November 03, 2017 Filed Nov 8, 2017 00:03 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS B COMMON STOCK · Derivative | 6,533 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-025548 · doc4.xml · derivative · entry 3 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: CLASS A COMMON STOCK · 6,533 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 | 6,533 | $41.63 | $271,936.13 |
DisclosureSEC source: 0000899243-17-025548 · doc4.xml · nonDerivative · entry 2 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 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 | 6,533 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-025548 · doc4.xml · nonDerivative · entry 1 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,533 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 00:08 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS B COMMON STOCK · Derivative | 102,314 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-025169 · doc4.xml · derivative · entry 4 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: CLASS A COMMON STOCK · 102,314 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 00:08 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | SaleCLASS A COMMON STOCK | 91,453 | $41.63 | $3,806,731.13 |
DisclosureSEC source: 0000899243-17-025169 · doc4.xml · nonDerivative · entry 3 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 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 00:08 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | Tax withholdingCLASS A COMMON STOCK | 10,861 | $41.28 | $448,342.08 |
DisclosureSEC source: 0000899243-17-025169 · doc4.xml · nonDerivative · entry 2 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,453 Read SEC document |
| October 30, 2017 Filed Nov 2, 2017 00:08 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS A COMMON STOCK | 102,314 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-025169 · doc4.xml · nonDerivative · entry 1 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,314 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 21:47 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | OtherCLASS B COMMON STOCK · Derivative | 16,275 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-17-000017 · wf-form4_149505763007487.xml · derivative · entry 2 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · BY HL VOTING TRUST Disclosed balance after: 1,582,854 Underlying: CLASS A COMMON STOCK · 16,275 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. F4 · shares: The reporting person is a trustee of the Voting Trust. The trustees of the Voting Trust have shared voting control over the shares deposited into the Voting Trust. The reporting person has a pecuniary interest in and investment control over the shares reported herein. F2 · derivative.exercise_date: On May 15, 2017, the Issuer granted 16,275 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. F4 · balance_after: The reporting person is a trustee of the Voting Trust. The trustees of the Voting Trust have shared voting control over the shares deposited into the Voting Trust. The reporting person has a pecuniary interest in and investment control over the shares reported herein. Read SEC document |
| May 15, 2017 Filed May 17, 2017 21:47 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | GrantCLASS B COMMON STOCK · Derivative | 16,275 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-17-000017 · wf-form4_149505763007487.xml · derivative · entry 1 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,275 Underlying: CLASS A COMMON STOCK · 16,275 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 16,275 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 16,275 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 16:58 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionClass B Common Stock · Derivative | 15,743 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-007912 · doc4.xml · derivative · entry 3 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 1 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 16:58 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | SaleClass A Common Stock | 15,743 | $29.05 | $457,334.15 |
DisclosureSEC source: 0000899243-17-007912 · doc4.xml · nonDerivative · entry 2 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| March 15, 2017 Filed Mar 17, 2017 16:58 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionClass A Common Stock | 15,743 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-007912 · doc4.xml · nonDerivative · entry 1 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,743 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 | 111,881 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-004392 · doc4.xml · derivative · entry 4 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 111,881 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 | 104,952 | $29.25 | $3,069,846.00 |
DisclosureSEC source: 0000899243-17-004392 · doc4.xml · nonDerivative · entry 3 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 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 | 6,929 | $32.30 | $223,806.70 |
DisclosureSEC source: 0000899243-17-004392 · doc4.xml · nonDerivative · entry 2 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,952 Read SEC document |
| February 14, 2017 Filed Feb 17, 2017 01:28 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionClass A Common Stock | 111,881 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-004392 · doc4.xml · nonDerivative · entry 1 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,881 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 17, 2016 Filed Nov 21, 2016 22:10 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS B COMMON STOCK · Derivative | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-16-000087 · wf-form4_147976619273639.xml · derivative · entry 3 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: CLASS A COMMON STOCK · 10,000 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. 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 |
| November 17, 2016 Filed Nov 21, 2016 22:10 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | GiftCLASS A COMMON STOCK | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-16-000087 · wf-form4_147976619273639.xml · nonDerivative · entry 2 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · shares: On November 17, 2016, the reporting person made a charitable donation of 10,000 shares of Class B Common Stock. No value was received for the donated shares. Read SEC document |
| November 17, 2016 Filed Nov 21, 2016 22:10 UTC | HOULIHAN LOKEY, INC. HLI · Entity 3553 | ConversionCLASS A COMMON STOCK | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001302215-16-000087 · wf-form4_147976619273639.xml · nonDerivative · entry 1 GOLD IRWIN · CIK 0001122672 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 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: 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.