Irwin Gold - Nov 25, 2024 Form 4/A - Amendment Insider Report for HOULIHAN LOKEY, INC. (HLI)

Role
CO-CHAIRMAN, Director, 10%+ Owner
Signature
/s/ J. Lindsey Alley, Attorney-in-Fact for Irwin N. Gold
Stock symbol
HLI
Transactions as of
Nov 25, 2024
Transactions value $
$0
Form type
4/A - Amendment
Date filed
12/2/2024, 06:56 PM
Date Of Original Report
Nov 26, 2024
Previous filing
Jul 5, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HLI CLASS A COMMON STOCK Conversion of derivative security $0 +5K $0.00 5K Nov 25, 2024 Direct F1
transaction HLI CLASS A COMMON STOCK Gift $0 -5K -100% $0.00 0 Nov 25, 2024 Direct F2

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
transaction HLI CLASS B COMMON STOCK Conversion of derivative security $0 -5K -100% $0.00 0 Nov 25, 2024 CLASS A COMMON STOCK 5K Direct F1
holding HLI CLASS B COMMON STOCK 1.09M Nov 25, 2024 CLASS A COMMON STOCK 1.09M BY HL VOTING TRUST F1, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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.