| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | HLNE | Class A Common Stock | Award | $0 | +1.34K | +61.22% | $0.00 | 3.52K | Sep 16, 2024 | Direct | F1 |
| holding | HLNE | Class A Common Stock | 17.4K | Sep 16, 2024 | See Footnote | F2 | |||||
| holding | HLNE | Class B Common Stock | 316K | Sep 16, 2024 | See footnote | F3, F4 | |||||
| holding | HLNE | Class B Common Stock | 316K | Sep 16, 2024 | See footnote | F3, F5 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| holding | HLNE | Class B Units | 316K | Sep 16, 2024 | Class A Common Stock | 316K | By the 2008 Sexton Des. Trust FBO Matthew Sexton | F6, F7 | ||||||
| holding | HLNE | Class B Units | 316K | Sep 16, 2024 | Class A Common Stock | 316K | By the 2008 Sexton Des. Trust FBO Laura Sexton | F6, F8 |
| Id | Content |
|---|---|
| F1 | Represents the number of shares issued to the reporting person pursuant to an award of restricted stock under the Issuer's Amended and Restated 2017 Equity Incentive Plan in consideration of the reporting person's service on the board of directors of the Issuer. The shares vest one year from the transaction date. |
| F2 | Mr. Sexton indirectly holds these shares through the O. Griffith Sexton 2016 Revocable Trust. Mr. Sexton is sole settlor, beneficiary, and trustee of the trust. Previously, these shares were disclosed as being directly held by Mr. Sexton. On May 19, 2022, October 17, 2022, and October 24, 2023, Mr. Sexton transferred 12,858, 2,044, and 2,512 shares, respectively, into the O. Griffith Sexton 2016 Revocable Trust. |
| F3 | 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. |
| F4 | The securities reported in this row are owned by the 2008 Sexton Des. Trust FBO Matthew Sexton (the "Matthew Sexton Trust"). Mr. Sexton serves as trustee of this trust. |
| F5 | The securities reported in this row are owned by The 2008 Sexton Des. Trust FBO Laura Sexton (the "Laura Sexton Trust"). Mr. Sexton serves as trustee of this trust. |
| F6 | 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 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 of HLA do not have an expiration date. |
| F7 | The securities reported in this row are owned indirectly by the Matthew Sexton Trust through HLA Investments, LLC. Mr. Sexton serves as trustee of this trust. |
| F8 | The securities reported in this row are owned indirectly by the Laura Sexton Trust through HLA Investments, LLC. Mr. Sexton serves as trustee of this trust. |
In addition to serving as a director of the Issuer, Mr. Sexton is a member of a group that beneficially owns more than 10% of the Issuer's Class A common stock.