Company: HLI
Filing Date: 2025-02-04
Form Type: 10-Q
Source: 0001302215-25-000007
Chunk: 65

Company: HOULIHAN LOKEY, INC.
Filing Date: 2025-02-04
Form: 10-Q
Item: Part II, Item 3
Chunk 65
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Item 3.    Defaults upon Senior Securities

None.

Item 4.    Mine Safety Disclosures

Not applicable.

Item 5.    Other Information

(a) None.

(b) None.

(c) On November 18, 2024, Christopher Crain, the Company's General Counsel and Secretary, entered into a “Rule 10b5-1 trading arrangement” (as defined in Item 408(a) of Regulation S-K) that provides for the sale of 2,000 shares of Class A common stock issuable upon the vesting of certain restricted stock awards. The plan will expire April 30, 2026, subject to early termination for certain specified events as set forth in the plan.

36

Item 6.    Exhibits

Incorporated by ReferenceExhibitNumberExhibit DescriptionFormFile No.ExhibitFilingDateFiled / FurnishedHerewith3.1Second Amended and Restated Certificate of Incorporation of Houlihan Lokey, Inc., dated September 21, 2023.8-K001-375373.19/22/233.2Amended and Restated Bylaws of the Company, dated July 26, 2023. 8-K001-375373.18/1/2310.1Second Amendment to Amended and Restated Houlihan Lokey, Inc. 2016 Incentive Award Plan8-K001-3753710.110/28/2431.1Rule 13a-14(a) / 15d-14(a) Certification of Chief Executive Officer.*31.2Rule 13a-14(a) / 15d-14(a) Certification of Chief Financial Officer.*32.1Section 1350 Certification of Chief Executive Officer.**32.2Section 1350 Certification of Chief Financial Officer.**101.INSInline XBRL Instance Document - The instance document does not appear in the interactive data file because its XBRL tags are embedded within the inline XBRL document.*101.SCHInline XBRL Taxonomy Extension Schema Document.*101.CALInline XBRL Taxonomy Extension Calculation Linkbase Document.*101.DEFInline XBRL Taxonomy Extension Definition Linkbase Document.*101.LABInline XBRL Taxonomy Extension Label Linkbase Document.*101.PREInline XBRL Taxonomy Extension Presentation Linkbase Document.*104.1Cover Page Interactive Data File - The cover page interactive data file does not appear in the interactive data file because its