# EDGAR Filing Document

**Accession Number:** 0001302215
**File Stem:** 0001302215-23-000010
**Filing Date:** 2023-3
**Character Count:** 6961
**Document Hash:** 5860ea20dcc241c8933e74f4dc88f365
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001302215-23-000010.hdr.sgml**: 20230301

**ACCESSION NUMBER**: 0001302215-23-000010

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230228

**FILED AS OF DATE**: 20230301

**DATE AS OF CHANGE**: 20230301

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** BEISER SCOTT L
- **CENTRAL INDEX KEY:** 0001649212

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-37537
- **FILM NUMBER:** 23693650

**MAIL ADDRESS:**
- **STREET 1:** C/O HOULIHAN LOKEY, INC.
- **STREET 2:** 10250 CONSTELLATION BLVD., 5TH FL
- **CITY:** LOS ANGELES
- **STATE:** CA
- **ZIP:** 90067
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** HOULIHAN LOKEY, INC.
- **CENTRAL INDEX KEY:** 0001302215
- **STANDARD INDUSTRIAL CLASSIFICATION:** INVESTMENT ADVICE [6282]
- **IRS NUMBER:** 952770395
- **FISCAL YEAR END:** 0331

**BUSINESS ADDRESS:**
- **STREET 1:** HOULIHAN LOKEY, INC.
- **STREET 2:** 10250 CONSTELLATION BLVD., 5TH FLOOR
- **CITY:** LOS ANGELES
- **STATE:** CA
- **ZIP:** 90067
- **BUSINESS PHONE:** 310.553.8871

**MAIL ADDRESS:**
- **STREET 1:** HOULIHAN LOKEY, INC.
- **STREET 2:** 10250 CONSTELLATION BLVD., 5TH FLOOR
- **CITY:** LOS ANGELES
- **STATE:** CA
- **ZIP:** 90067

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** HOULIHAN LOKEY HOWARD & ZUKIN INC
- **DATE OF NAME CHANGE:** 20040902

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>BEISER SCOTT L<br><sub>(Last) (First) (Middle)</sub><br>C/O HOULIHAN LOKEY, INC.<br>10250 CONSTELLATION BLVD., 5TH FLOOR<br><sub>(Street)</sub><br>LOS ANGELES, CA 90067<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-28 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_CHIEF EXECUTIVE OFFICER_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>HOULIHAN LOKEY, INC. [ HLI ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| CLASS A COMMON STOCK | 2023-02-28 |  | C<sup>(1)</sup> |  | 10000 | A | $0 | 10000 | D |  |
| CLASS A COMMON STOCK | 2023-02-28 |  | G | V | 10000<sup>(2)</sup> | D | $0 | 0 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| CLASS B COMMON STOCK | <sup>(1)</sup> | 2023-02-28 |  | C |  |  | 10000 | <sup>(1)</sup> | <sup>(1)</sup> | CLASS A COMMON STOCK | 10000.0 | $0 | 0 | D |  |
| CLASS B COMMON STOCK | <sup>(1)</sup> |  |  |  |  |  |  | <sup>(1)</sup> | <sup>(1)</sup> | CLASS A COMMON STOCK | 873776.0 |  | 873776 | I<sup>(3)</sup> | BY HL VOTING TRUST |

---

### Footnotes:

(1) Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer, and automatically upon the Final Conversion Date (as defined in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610)) concerning the Issuer's initial public offering.  The Class B Common Stock has no expiration date.

(2) On February 28, 2023, the reporting person made a charitable donation of 10,000 shares of Class B Common Stock. No value was received for the donated shares.

(3) The reporting person is a trustee of the HL Voting Trust (the "Voting Trust").  The trustees of the Voting Trust have shared voting control over the shares deposited into the Voting Trust.  The reporting person has a pecuniary interest in and investment control over the shares reported herein.

**Signature:** /s/ J. Lindsey Alley, Attorney-in-Fact for Scott L. Beiser  
**Date:** 2023-03-01

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**