Paul Eric Siegert - Jun 10, 2024 Form 3 Insider Report for HOULIHAN LOKEY, INC. (HLI)

Role
CO-CHAIRMAN
Signature
/s/ J. Lindsey Alley, as Attorney-in-Fact, for Paul Eric Siegert
Stock symbol
HLI
Transactions as of
Jun 10, 2024
Transactions value $
$0
Form type
3
Date filed
6/17/2024, 04:05 PM
Next filing
Aug 20, 2024

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding HLI CLASS B COMMON STOCK Jun 10, 2024 CLASS A COMMON STOCK 342K BY HL VOTING TRUST F1, F6, F7
holding HLI CLASS B COMMON STOCK Jun 10, 2024 CLASS A COMMON STOCK 16.5K BY HL VOTING TRUST F2, F6, F7
holding HLI CLASS B COMMON STOCK Jun 10, 2024 CLASS A COMMON STOCK 10.7K BY HL VOTING TRUST F3, F6, F7
holding HLI CLASS B COMMON STOCK Jun 10, 2024 CLASS A COMMON STOCK 11.5K BY HL VOTING TRUST F4, F6, F7
holding HLI CLASS B COMMON STOCK Jun 10, 2024 CLASS A COMMON STOCK 33.8K BY HL VOTING TRUST F5, F6, F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents 341,752 fully vested shares of Class B Common Stock.
F2 Represents 16,450 unvested shares of Class B Common Stock, which vest on May 15, 2025.
F3 Represents 10,724 unvested shares of Class B Common Stock, which vest in equal installments on May 15, 2025 and 2026.
F4 Represents 11,518 unvested shares of Class B Common Stock, which vest in equal installments on May 15, 2025, 2026, and 2027.
F5 Represents 33,833 unvested shares of Class B Common Stock, which vest in equal installments on May 15, 2025, 2026, 2027,and 2028.
F6 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.
F7 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.

Remarks:

Exhibit List: Exhibit 24.1 - Power of Attorney