Todd J. Carter - 15 May 2025 Form 4 Insider Report for HOULIHAN LOKEY, INC. (HLI)

Role
Director
Signature
J. Lindsey Alley, Attorney-in-Fact for Todd J. Carter
Issuer symbol
HLI
Transactions as of
15 May 2025
Net transactions value
-$2,562,501
Form type
4
Filing time
19 May 2025, 16:26:46 UTC
Previous filing
24 May 2024
Next filing
23 May 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Carter Todd J Director C/O HOULIHAN LOKEY, INC, 10250 CONSTELLATION BLVD., 5TH FLOOR, LOS ANGELES J. Lindsey Alley, Attorney-in-Fact for Todd J. Carter 19 May 2025 0001679143

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 Tax liability $2,562,501 -14,229 -14% $180.09 87,260 15 May 2025 CLASS A COMMON STOCK 14,229 By HL Voting Trust F1, F2, 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 Represents shares withheld to cover taxes upon the vesting of existing awards under the Issuer's 2016 Incentive Award Plan.
F3 The shares are held by the HL Voting Trust (the "Voting Trust"). The reporting person retains investment control and dispositive power over the shares deposited into the Voting Trust.