Gold Irwin's Form 4 filing
Houlihan Lokey, Inc. (HLI) · filed Nov 14, 2022
- Accession no.
- 0001302215-22-000080
- Filed
- Nov 14, 2022
- Trade date
- Nov 11, 2022
- Filing delay
- 3 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market sales total $518.2K. It was filed 3 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Gold IrwinCIK 0001122672 | Director, Officer (EXECUTIVE CHAIRMAN), 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 11, 2022 | CLASS A COMMON STOCK | CConversionAcquired | +5,389 | $0.00 | $0 | 5,389 | Direct | |
| Nov 11, 2022 | CLASS A COMMON STOCK | SSaleDisposed | −5,389 | $96.16F2 | −$518,206.24 | 0 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 11, 2022 | CLASS A COMMON STOCK | CConversionDisposed | −5,389 | $0.00 | $0 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
Per share price reflects the weighted average price in a series of open market sales on November 11, 2022 at prices ranging from $96.00 per share to $96.34 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.
Referenced by the price of 1 transaction in Table I.