IPO registrations (S-1, F-1) · Registrants
HOULIHAN LOKEY, INC.
- SEC CIK
- 1302215 · filings on EDGAR ↗
- Former names
- HOULIHAN LOKEY HOWARD & ZUKIN INC (2004–2015)
- Registration
- Form S-1, first filed 2015-07-10, last 2015-08-07; 1 initial registration, 3 amendments
- Outcome
- Final prospectus filed 2015-08-14; declared effective 2015-08-12
- Industry (SIC)
- Investment Advice 6282
- Business address
- HOULIHAN LOKEY, INC., 10250 CONSTELLATION BLVD., 5TH FLOOR, Los Angeles, CA 90067
- EIN
- 95-2770395
- Ticker
- HLI (NYSE)
- EDGAR entity type
- operating
- Insiders and CEO pay
- HOULIHAN LOKEY, INC. on the corporate pages
Offering terms
- Proposed price range
- $22.00–$24.00 per share (S-1/A filed 2015-08-07)
- Final price
- $21.00 per share, below the range (424B4 filed 2015-08-14, an initial public offering)
- Shares sold
- 10,500,000 (all by selling holders)
- Gross proceeds
- $220,500,000 before underwriting discounts and any over-allotment option
- Listing
- NYSE under the symbol HLI
- Lead underwriters
- Merrill Lynch; Goldman Sachs
- Syndicate
- BofA Securities; UBS; KBW; Houlihan Lokey; Stifel; Piper Sandler; JMP Securities
Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.
On this site
- Investment adviser (Form ADV): HOULIHAN LOKEY ↗ Fuzzy (name and state)
- Business registration: HOULIHAN LOKEY, INC. EXACT (EIN (EXACT, as the state registration reports it))
- Business registration: Houlihan Lokey, Inc. Fuzzy (name and state)
- Business registration: Houlihan Lokey, Inc. Fuzzy (name and state)
- Business registration: HOULIHAN LOKEY, INC. Fuzzy (name and state)
- Form 5500 plan sponsor: HOULIHAN LOKEY EXACT (EIN (EXACT))
- Federal award recipient: HOULIHAN LOKEY, INC Fuzzy (name and state)
- Form D issuer: HOULIHAN LOKEY, INC. EXACT (CIK (EXACT))
- SEC filer: HOULIHAN LOKEY, INC. EXACT (CIK (EXACT))
- Person page: David A Preiser Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director,Officer))
- Person page: Robert H Hotz Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (TenPercentOwner))
Filings 8
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2015-07-10 | S-1 | S-1 (registration) | HOULIHAN LOKEY, INC. | 0001047469-15-006062 ↗ |
| 2015-07-27 | S-1/A | S-1/A (amendment) | HOULIHAN LOKEY, INC. | 0001047469-15-006343 ↗ |
| 2015-08-03 | S-1/A | S-1/A (amendment) | HOULIHAN LOKEY, INC. | 0000912057-15-000220 ↗ |
| 2015-08-07 | S-1/A | S-1/A (amendment) | HOULIHAN LOKEY, INC. | 0001047469-15-006673 ↗ |
| 2015-08-12 | EFFECT | EFFECT (declared effective) | HOULIHAN LOKEY, INC. | 9999999995-15-002271 ↗ |
| 2015-08-14 | 424B4 | 424B4 (final prospectus) | HOULIHAN LOKEY, INC. | 0001047469-15-006830 ↗ |
| 2016-11-17 | EFFECT | EFFECT (declared effective) | HOULIHAN LOKEY, INC. | 9999999995-16-006262 ↗ |
| 2017-02-06 | EFFECT | EFFECT (declared effective) | HOULIHAN LOKEY, INC. | 9999999995-17-000313 ↗ |
Prospectus pages read 2
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 2015-08-07 | S-1/A | registration statement | $22.00–$24.00 | $23.00 | 13,059,139 | $300,360,197 | NYSE HLI | 9 | primary document; range, price sentence, shares headline, proceeds computed, cover names 8 | document ↗ |
| 2015-08-14 | 424B4 | final prospectus | $21.00 | 10,500,000 | $220,500,000 | NYSE HLI | 9 | primary document; price sentence, shares headline, proceeds table, cover names 8 | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| Adelson Scott Joseph | Director,Officer | CEO; CO-PRESIDENT | 38 | 2015–2026 | |
| ALLEY J LINDSEY | Officer | Chief Financial Officer; CHIEF FINANCIAL OFFICER | 37 | 2015–2026 | |
| BARGER RON KENT | Director | 1 | 2015 | ||
| BEISER SCOTT L | Director,Officer; Director,Officer,TenPercentOwner | CHIEF EXECUTIVE OFFICER; CO-CHAIRMAN | 49 | 2015–2026 | |
| CRAIN CHRISTOPHER M | Officer | GENERAL COUNSEL | 51 | 2015–2026 | |
| GOLD IRWIN | Director,Officer; Director,Officer,TenPercentOwner | CO-CHAIRMAN; EXECUTIVE CHAIRMAN | 63 | 2015–2026 | |
| LENHARDT ROBERT JOHN BRUNO | Director | 2 | 2015 | ||
| NISHITANI HIDETO | Director | 1 | 2015 | ||
| ORIX CORP | Other; TenPercentOwner | 29 | 2015–2019 | ||
| ORIX HLHZ Holding LLC | Other; TenPercentOwner | 29 | 2015–2019 | ||
| PREISER DAVID A | Director,Officer | CO-PRESIDENT | 34 | 2015–2024 | person page Fuzzy |
| SCHRIESHEIM ROBERT A | Director | 21 | 2015–2026 | ||
| Van de Bunt Bennet | Director | 6 | 2015–2019 | ||
| WILSON PAUL EDWARD | Director | 1 | 2015 | ||
| HL VOTING TRUST | TenPercentOwner | 1 | 2015 | ||
| HOTZ ROBERT H | TenPercentOwner | 2 | 2015–2016 | person page Fuzzy | |
| KOSECOFF JACQUELINE B | Director | 11 | 2016–2025 | ||
| ZUBER PAUL ANDREW | Director | 13 | 2018–2026 | ||
| Zucker Gillian Beth | Director | 21 | 2019–2026 | ||
| Bassey Ekpedeme M | Director | 8 | 2020–2026 | ||
| Walker Cyrus D. | Director | 8 | 2020–2026 | ||
| Carter Todd J | Director | 8 | 2022–2026 | ||
| SIEGERT PAUL ERIC | Officer | CO-CHAIRMAN | 8 | 2024–2026 | |
| Mund Ronald Scott | Director | 3 | 2025–2026 | ||
| Bhandari Prabha S | Officer | See Remarks | 1 | 2026 |
Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.
Private offerings before or after (Form D)
| First filed | Issuer | Industry | Offering | Sold | Investors | Filings |
|---|---|---|---|---|---|---|
| 2015-08-17 | HOULIHAN LOKEY, INC. | Other Banking and Financial Services | $1,268,167,866 | $0 | 0 | 1 |
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.
Also on this site Fuzzy
| Record | Name as filed | Where | Dataset | Matched by |
|---|---|---|---|---|
| Investment adviser | HOULIHAN LOKEY | CA | Investment advisers (Form ADV) | name and state |
| Business registration | Houlihan Lokey, Inc. | CA | State business registries | name and state |
| Business registration | Houlihan Lokey, Inc. | CA | State business registries | name and state |
| Business registration | HOULIHAN LOKEY, INC. | CA | State business registries | name and state |
| Business registration | HOULIHAN LOKEY, INC. | CA | State business registries | name and state |
| Plan sponsor | HOULIHAN LOKEY | CA | Form 5500 (employee benefit plans) | EIN (EXACT) |
| Federal award recipient | HOULIHAN LOKEY, INC | CA | Federal spending (USAspending) | name and state |
| Form D issuer | HOULIHAN LOKEY, INC. | CA | Form D private offerings | CIK (EXACT) |
| SEC filer | HOULIHAN LOKEY, INC. | SEC filers (EDGAR) | CIK (EXACT) | |
| Trademark owner | HOULIHAN LOKEY, INC. | CA | Trademarks (USPTO) | name and state |
| Form 5500 plan sponsor | HOULIHAN LOKEY | EIN (EXACT) | ||
| Person page | David A Preiser | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director,Officer) | |
| Person page | Robert H Hotz | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (TenPercentOwner) |
Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.
Others with the same interests
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In other datasets, the same topic (Finance) in CA:
- Lobbying client: A16Z CAPITAL MANAGEMENT FKA ANDREESSEN HOROWITZ (Federal lobbying (LDA))
Interests: Investment Advice · Finance