Gold Irwin's Form 4/A amendment
AmendedHoulihan Lokey, Inc. (HLI) · filed Dec 2, 2024
- Accession no.
- 0001302215-24-000123
- Filed
- Dec 2, 2024
- Trade date
- Nov 25, 2024
- Filing delay
- 7 days
- Rule 10b5-1 plan
- Not checked
- Original filed
- Nov 26, 2024
This filing lists 2 non-derivative transactions and 1 derivative transaction. It carries over 3 transactions from the original filing that it did not restate. Open-market sales total $952.5K. It was filed 7 days after the trade.
This amendment restates part of 0001302215-24-000121 (filed Nov 26, 2024). The transactions it did not restate still count and are listed below.
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 (CO-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 25, 2024 | CLASS A COMMON STOCK | CConversionAcquired | +5,000 | $0.00 | $0 | 5,000 | Direct | |
| Nov 25, 2024 | CLASS A COMMON STOCK | GGiftDisposed | −5,000 | $0.00 | $0 | 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 25, 2024 | CLASS A COMMON STOCK | CConversionDisposed | −5,000 | $0.00 | $0 | 0 | Direct |
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0001302215-24-000121 (filed Nov 26, 2024).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 25, 2024 | CLASS A COMMON STOCK | SSaleDisposed | −5,000 | $190.50F2 | −$952,500 | 0 | Direct | |
| Nov 25, 2024 | CLASS A COMMON STOCK | CConversionAcquired | +10,000 | $0.00 | $0 | 10,000 | Direct |
Derivative securities (Table II)
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 25, 2024 | CLASS A COMMON STOCK | CConversionDisposed | −10,000 | $0.00 | $0 | 0 | Direct |
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- F2
Per share price reflects the weighted average price in a series of open market sales on November 25, 2024 at prices ranging from $190.11 per share to $191.26 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.
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.
- 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
On November 25, 2024, the reporting person made a charitable donation of 5,000 shares of Class A Common Stock. No value was received for the donated shares.
- 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.
Remarks
This Form 4 Amendment is filed to correct the number of shares converted and then donated as a gift as reported on the Form 4 filed November 26, 2024 from 10,000 to 5,000 shares.