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ORIX CORP — Director's Dealing 2015
Aug 20, 2015
30155_dirs_2015-08-20_324fec1a-885e-47b3-98b0-8b5aabb4301c.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: HOULIHAN LOKEY, INC. (HLI)
CIK: 0001302215
Period of Report: 2015-08-18
Reporting Person: ORIX HLHZ Holding LLC (10% Owner)
Reporting Person: ORIX CORP (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-08-18 | Class A Common Stock | C | 9595289 | — | Acquired | 9595289 | Direct |
| 2015-08-18 | Class A Common Stock | S | 9595289 | $19.58 | Disposed | 0 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-08-18 | Class B Common Stock | $ | J | 31205620 | Acquired | Class A Common Stock (31205620) | Direct | |
| 2015-08-18 | Class B Common Stock | $ | C | 9595289 | Disposed | Class A Common Stock (9595289) | Direct |
Footnotes
F1: Owned directly by ORIX HLHZ Holding LLC. Also owned indirectly, through subsidiaries, by ORIX Corporation.
F2: Convertible into Class A Common Stock on one-for-one basis, upon transfer or final conversion dates as described in Issuer's registration statement on Form S-1 (file no. 333-205610) relating to its initial public offering.
F3: Issued in exchange for securities in predecessor entities owned by the reporting persons in connection with a corporate reorganization that became effective on the closing date of the issuer's initial public offering.