Key facts
- This page summarizes Kevin J. Lucey's Form 4 filing for Hamilton Lane INC (HLNE).
- 1 reported transaction and 2 derivative rows are listed below.
- Accepted by SEC: 22 Jun 2021, 08:33.
Kevin J. Lucey - 17 Jun 2021 Form 4 Insider Report for Hamilton Lane INC (HLNE)
- Reporting relationship
- Chief Operating Officer, 10%+ Owner
- Issuer ticker
- HLNE
- Reported as of
- 17 Jun 2021
- Net transaction value
- -$537,966
- Reporting owner signature
- /s/ Lauren Platko, attorney-in-fact
Source evidence
Original filing metadata and source links for verification.
3 source fields
Reporting owner
1 detail
Key filing fact
Kevin J. Lucey filed Form 4 for Hamilton Lane INC (HLNE) on 22 Jun 2021.
Change
- No earlier filing in this sequence is available for direct comparison.
- Current net transaction value: -$537,966.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
HLNE
transaction
Class A Common Stock
Tax liability
- Transaction value
- $537,966
- Shares
- -5,891
- Change %
- -27%
- Price
- $91.32
- Shares after
- 16,039
- Date
- 17 Jun 2021
- Ownership
- Direct
- Footnotes
- F1
HLNE
holding
Class A Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 58,010
- Date
- 17 Jun 2021
- Ownership
- See footnote
- Footnotes
- F2
HLNE
holding
Class B Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 190,869
- Date
- 17 Jun 2021
- Ownership
- Direct
- Footnotes
- F3
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
HLNE
holding
Derivative
Class B Units
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 190,869
- Date
- 17 Jun 2021
- Ownership
- See footnote
- Underlying class
- Class A Common Stock
- Underlying amount
- 190,869
- Exercise price
- Footnotes
- F4, F5
HLNE
holding
Derivative
Class C Units
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 25,557
- Date
- 17 Jun 2021
- Ownership
- See footnote
- Underlying class
- Class A Common Stock
- Underlying amount
- 25,557
- Exercise price
- Footnotes
- F4, F5
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 5 footnotes
Footnote F1
Shares delivered to the issuer for the payment of withholding taxes due upon the vesting of previously granted restricted stock awards.
Footnote F2
These shares are owned directly by a trust for the benefit of Mr. Lucey's spouse and children, of which his spouse is a trustee.
Footnote 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.
Footnote F4
Pursuant to the Exchange Agreement, 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.
Footnote F5
Held on behalf of the reporting person by HL Management Investors, LLC.
SEC remarks
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.