| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | HLNE | Class A Common Stock | Award | $3.83K | +40 | +0.07% | $95.85 | 55.4K | Mar 29, 2024 | Direct | F1 |
| transaction | HLNE | Class A Common Stock | Award | $4.31K | +41 | +0.07% | $105.04 | 55.4K | Jun 28, 2024 | Direct | F1 |
| transaction | HLNE | Class A Common Stock | Award | $0 | +6.68K | +12.06% | $0.00 | 62.1K | Sep 16, 2024 | Direct | F2 |
| holding | HLNE | Class A Common Stock | 17.9K | Sep 16, 2024 | See footnote. | F3 | |||||
| holding | HLNE | Class B Common Stock | 136K | Sep 16, 2024 | Direct | F4 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | HLNE | Performance Stock | Award | $0 | +5.44K | $0.00 | 5.44K | Sep 16, 2024 | Class A Common Stock | 5.44K | Direct | F5 | ||
| holding | HLNE | Performance Stock | 13K | Sep 16, 2024 | Class A Common Stock | 13K | Direct | F6 | ||||||
| holding | HLNE | Class B Units | 136K | Sep 16, 2024 | Class A Common Stock | 136K | See footnote | F7, F8 | ||||||
| holding | HLNE | Class C Units | 195K | Sep 16, 2024 | Class A Common Stock | 195K | See footnote | F7, F8 |
| Id | Content |
|---|---|
| F1 | These shares were acquired pursuant to the Issuer's Employee Share Purchase Plan in a transaction that was exempt under Rule 16b-3(d). |
| F2 | Shares issued to the reporting person pursuant to an award of restricted stock under the Issuer's Amended and Restated 2017 Equity Incentive Plan. The shares vest in four equal annual installments. |
| F3 | The securities reported in this row are owned by The Andrea Anigati IRA Equity Trust Company, d.b.a. Sterling Trust, Custodian FBO Andrea Anigati IRA. Ms. Anigati Kramer serves as the trustee of this trust. |
| F4 | The Class B common stock does not carry economic value beyond the right to receive the par value of such stock upon liquidation, dissolution or exchange of those shares. However, the Class B common stock entitles its holder to ten votes per share on every matter submitted to the Issuer's stockholders for a vote. |
| F5 | Each share of performance stock represents a contingent right to receive one share of Class A common stock. The performance stock vests upon the Issuer's Class A common stock achieving a specified price per share. The performance period of the performance stock ends on September 16, 2031. |
| F6 | Each share of performance stock represents a contingent right to receive one share of Class A common stock. The performance stock vests upon the Issuer's Class A common stock achieving a specified price per share. The performance period of the performance stock ends on September 16, 2029. |
| F7 | Pursuant to an Exchange Agreement entered into at the time of and in connection with a reorganization incident to the Issuer's initial public offering, the Class B Units and Class C Units of Hamilton Lane Advisors, L.L.C. ("HLA") are exchangeable, on a one-for-one basis, for shares of Class A common stock or, at the Issuer's election, for cash. Upon exchange of a Class B Unit, the corresponding share of Class B common stock will be redeemed at par value and cancelled. The Class B Units and Class C Units of HLA do not have an expiration date. |
| F8 | Held on behalf of the reporting person by HL Management Investors, LLC. |
In addition to serving as an officer 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.