Houlihan Lokey officer plans sale of 1,000 shares

HOULIHAN LOKEY, INC.

Available on EDGAR 09/10/2026 - 04:02 PM EDT Accepted by SEC EDGAR 09/10/2026 - 04:01 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

HOULIHAN LOKEY, INC. (HLI) is the issuer of common stock for which officer Christopher Madison Crain has filed a notice to sell 1,000 shares under Rule 144. The shares have an indicated aggregate market value of $140,145 and are listed on the NYSE.

The shares to be sold were acquired on August 13, 2015 through restricted stock vesting under a registered plan in consideration for services rendered.

Key Figures

Shares to be sold: 1,000 shares Aggregate market value: $140,145 Acquisition date of shares: August 13, 2015 +1 more

4 metrics

Shares to be sold 1,000 shares Common stock of HOULIHAN LOKEY, INC. covered by the Rule 144 notice

Aggregate market value $140,145 Indicated value of 1,000 HLI shares subject to the planned sale

Acquisition date of shares August 13, 2015 Date the shares were acquired via restricted stock vesting under a registered plan

Planned sale date September 10, 2026 Date associated with the proposed sale under Rule 144

Key Terms

Rule 144, Restricted Stock, Registered Plan, services rendered

4 terms

Rule 144 regulatory

"See the definition of "person" in paragraph (a) of Rule 144."

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

Restricted Stock financial

"Restricted Stock Vesting Under a Registered Plan"

Shares granted to an individual that carry limits on transfer or sale until certain conditions are met, such as staying with the company for a set time or hitting performance targets. Think of them as a locked gift that gradually opens; for investors they matter because they affect how many shares may enter the market later, signal management incentives and potential dilution, and reveal confidence in future company performance.

Registered Plan regulatory

"Restricted Stock Vesting Under a Registered Plan"

A registered plan is a savings or investment account that a government recognizes for special tax treatment and rules, such as limits on how much you can put in and conditions for withdrawals. For investors it matters because those rules change how much of your gains are taxed, how quickly your money can be accessed and what strategies make sense — like a labeled jar that gives tax breaks but comes with rules about when and how you can take the money out.

services rendered financial

"Services Rendered"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the Form 144 notice for HLI disclose?

The notice discloses that officer Christopher Madison Crain plans to sell 1,000 shares of HOULIHAN LOKEY, INC. common stock under Rule 144, with an indicated aggregate market value of $140,145 and listing of the shares on the NYSE.

How many HOULIHAN LOKEY (HLI) shares are covered by this Rule 144 notice?

The Rule 144 notice covers 1,000 shares of HOULIHAN LOKEY, INC. common stock. These are the shares identified as proposed to be sold for the account of officer Christopher Madison Crain.

What is the aggregate market value of the HLI shares in this Form 144?

The 1,000 HOULIHAN LOKEY, INC. shares covered by the notice have an indicated aggregate market value of $140,145. This figure reflects the market value used in the Rule 144 disclosure.

When were the HOULIHAN LOKEY (HLI) shares proposed for sale originally acquired?

The common shares proposed for sale were acquired on August 13, 2015 through restricted stock vesting under a registered plan, with the consideration described as services rendered.

On which exchange are the HLI shares in this Rule 144 notice listed?

The notice identifies the HOULIHAN LOKEY, INC. common shares as listed on the NYSE. This is part of the security information disclosed in connection with the planned Rule 144 sale.

Who is the person for whose account the HLI securities are to be sold?

The securities are to be sold for the account of Christopher Madison Crain, who is identified as an officer of HOULIHAN LOKEY, INC. in the Rule 144 disclosure.

AI-generated analysis. How Rhea-AI works. Not financial advice.

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google

Add on Google Not now

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001649160
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	HOULIHAN LOKEY, INC.
SEC File Number	001-37537
Address of Issuer	10250 CONSTELLATION BLVD., 5TH FLOOR LOS ANGELES CALIFORNIA 90067
Phone	310 553 8871
Name of Person for Whose Account the Securities are To Be Sold	CHRISTOPHER MADISON CRAIN
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Officer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	1000	140145.00	54197538	09/10/2026	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	08/13/2015	Restricted Stock Vesting Under a Registered Plan	Issuer			1000	08/13/2015	Services Rendered

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks
Date of Notice	09/10/2026
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	/s/ Christopher Crain
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)