Welcome to our dedicated page for Houlihan Lokey SEC filings (Ticker: HLI), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Houlihan Lokey, Inc. (NYSE:HLI) SEC filings page on Stock Titan provides access to the company’s regulatory disclosures as filed with the U.S. Securities and Exchange Commission. As a public company with Class A common stock listed on the New York Stock Exchange, Houlihan Lokey submits a range of filings that document its financial condition, governance, and material events.
Among the most significant filings for HLI are its annual reports on Form 10-K and quarterly information released in connection with earnings announcements. These materials describe the firm’s activities in mergers and acquisitions, capital solutions, financial restructuring, and financial and valuation advisory, and they include segment data for Corporate Finance, Financial Restructuring, and Financial and Valuation Advisory.
Current reports on Form 8-K are another important category for Houlihan Lokey. Recent 8-K filings have covered topics such as quarterly financial results, amendments to the company’s voting trust arrangements, board appointments, and outcomes of the annual meeting of stockholders. These documents can shed light on governance structures, including the HL Voting Trust and the composition of the board and its committees.
Investors interested in ownership and governance details can review proxy materials such as the definitive proxy statement on Schedule 14A, which discusses director elections, executive compensation, and auditor ratification. Filings also indicate that the company’s Class A common stock trades under the symbol HLI on the NYSE.
On Stock Titan, AI-powered tools can help interpret complex filings by highlighting key sections, summarizing segment performance, and pointing out notable governance or capital structure disclosures. Users can use this page to follow Houlihan Lokey’s 8-Ks, 10-Ks, proxy statements, and other SEC documents as they are made available through EDGAR.
Houlihan Lokey, Inc. entered into an amended and restated voting trust agreement with designated trustees on December 30, 2025. This agreement replaces the prior 2015 voting trust arrangements for Class B common stock and updates how long the trust lasts and how it votes shares.
The revised agreement now ends on the earliest of an agreed written termination, 10 years after the date all Class B common stock automatically converts into Class A common stock, or when the trust holds less than 5% of the company’s total outstanding common stock. After that conversion date, if the trust holds more than 30% of outstanding common stock, any such excess shares must be voted in the same proportion as all other stockholders on any proposal.
The agreement also permits former employees who have not worked at the company for at least 12 months to have their shares released from the trust after the conversion date, and broadens situations where employees may withdraw shares for certain pledging, hedging, monetization or similar transactions, if allowed by the insider trading policy. Because some directors are trustees and trust participants, a Special Committee of disinterested directors reviewed and unanimously approved the new agreement.
HLI submitted a Form 144 notice covering a planned sale of restricted or control common stock. The notice states an intention to sell 5,000 shares of common stock through Fidelity Brokerage Services LLC on the NYSE, with an aggregate market value of $893,475.00. Common shares outstanding are listed as 54,515,003.
The securities to be sold are common shares that were acquired on 12/09/2025 as a gift from Irwin Gold, with an amount acquired of 5,000 shares. The table notes a related date of payment of 08/13/2025 described as Compensation. By signing the notice, the seller represents that they are not aware of undisclosed material adverse information about the issuer’s current or prospective operations.
Houlihan Lokey, Inc. insider activity: Co-chairman, director and 10% owner Irwin N. Gold reported a share conversion and charitable donation. On December 5, 2025, he converted 5,000 shares of Class B Common Stock into 5,000 shares of Class A Common Stock at an exercise price of $0, reflecting the one-for-one convertibility of Class B into Class A shares.
That same day, he made a charitable donation of 5,000 shares of Class A Common Stock, receiving no value for the shares, which reduced his directly held Class A position to 0 shares. Separately, the filing shows 1,066,385 shares of Class A Common Stock held indirectly through the HL Voting Trust, where Gold is a trustee with shared voting control and a pecuniary interest.
Houlihan Lokey (HLI) insider Scott L. Beiser reported a conversion and a charitable gift of company stock. On November 10, 2025, he converted 8,000 shares of Class B into 8,000 shares of Class A at $0, then donated 8,000 shares of Class A at $0.
Following these transactions, his direct Class A holdings were 0 shares. He reports 800,413 shares of Class A beneficially owned indirectly via the HL Voting Trust. The filing notes Class B converts to Class A on a one-for-one basis and has no expiration.
Houlihan Lokey (HLI) reported quarterly results for the three months ended September 30, 2025. Revenues were $659.5 million (up 15%), net income was $111.8 million, and diluted EPS was $1.63 versus $1.37 a year ago. Operating income reached $151.3 million, and the Compensation Ratio was 64.2%.
Growth was led by Corporate Finance revenue of $438.7 million (+21%), with Financial Restructuring at $133.8 million (+2%) and Financial & Valuation Advisory at $87.0 million (+10%). Cash and investment securities totaled $1.11 billion as of September 30, 2025, with no borrowings outstanding on the $150 million credit facility, amended to mature in 2030. The board declared a $0.60 quarterly dividend payable December 15, 2025 to holders of record on December 1, 2025. During the quarter, the company repurchased 146,738 Class A shares for $29.7 million and 195,566 year-to-date for $37.5 million.
Houlihan Lokey, Inc. (HLI) furnished an 8-K to announce its financial results for the second fiscal quarter ended September 30, 2025. The company provided the details via a press release attached as Exhibit 99.1.
The information was furnished under Item 2.02 (Results of Operations and Financial Condition) and is not deemed “filed” for purposes of Section 18 of the Exchange Act. The press release is dated October 30, 2025.
Houlihan Lokey (HLI): Form 4 insider equity grant. Director Ronald Scott Mund reported an award of 483 restricted shares of Class A common stock on 10/01/2025. The grant was recorded at a price of $0 per share under the company’s Amended and Restated 2016 Incentive Award Plan. These restricted shares vest in substantially equal installments on the first, second, and third anniversaries of the grant date, subject to continued service. Following the transaction, he beneficially owns 483 shares directly.
Houlihan Lokey, Inc. (HLI) reported a new director’s initial ownership on Form 3. The reporting person is a Director and filed individually. The filing states no securities are beneficially owned as of the event date 10/01/2025.
The submission includes an Exhibit 24 Power of Attorney authorizing signing on the reporting person’s behalf. This is a routine disclosure of insider status and holdings at the time of becoming a reporting insider.
Houlihan Lokey, Inc. disclosed that, effective with his start on the board, non-employee director Mr. Mund received an award of restricted Class A common stock under the company's Amended and Restated 2016 Incentive Award Plan. The award has a value equal to $100,000 and vests in substantially equal installments on the first, second and third anniversaries of the grant date, subject to his continuing service through each vesting date. The filing is dated October 6, 2025 and was signed by the company’s General Counsel and Secretary.
Houlihan Lokey, Inc. reported the results of its annual stockholder meeting held on September 17, 2025. Stockholders elected three Class I directors to serve until the 2028 annual meeting, with Scott L. Beiser receiving 190,098,660 votes for, Todd J. Carter receiving 190,572,180 votes for, and Paul A. Zuber receiving 184,094,657 votes for, alongside broker non-votes in each case.
Stockholders approved, on a non-binding advisory basis, the compensation of the named executive officers, with 201,286,055 votes for, 8,431,930 against, and 32,712 abstentions, plus 2,100,021 broker non-votes. They also ratified the appointment of KPMG LLP as independent registered public accounting firm for the fiscal year ending March 31, 2026, with 210,493,516 votes for, 1,332,861 against, and 24,341 abstentions.