Rogers Hartley R.'s Form 4 filing
Hamilton Lane INC (HLNE) · filed Sep 14, 2021
- Accession no.
- 0001433642-21-000129
- Filed
- Sep 14, 2021
- Trade date
- Sep 6-10, 2021
- Filing delay
- 8 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 2 derivative transactions. Open-market sales total $966.6K. It was filed 8 days after the trade, past the 2-business-day deadline.
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 |
|---|---|
| Rogers Hartley R.CIK 0001577084 | Director, Officer (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 |
|---|---|---|---|---|---|---|---|---|
| Sep 6, 2021 | Class B Common Stock | GGiftDisposed | −250,000 | $0.00 | $0 | 7,539,067 | Indirect | |
| Sep 10, 2021 | Class B Common Stock | JOtherDisposed | −238,400 | $0.00 | $0 | 7,300,667 | Indirect | |
| Sep 10, 2021 | Class A Common Stock | SSaleDisposed | −11,487 | $84.15 | −$966,631.05 | 14,772 | 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 6, 2021 | Class A Common Stock | GGiftDisposed | −250,000 | $0.00 | $0 | 7,539,067 | Indirect | |
| Sep 10, 2021 | Class A Common Stock | JOtherDisposed | −238,400 | $84.15 | −$20,061,360 | 7,300,667 | Indirect |
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.
No transaction price on this filing refers to a footnote.
Remarks
In addition to serving as an officer and director of the Issuer, the reporting person is a member of a group that beneficially owns more than 10% of the Issuer's Class A common stock.