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.
Houlihan Lokey, Inc. filings document the regulatory record of a NYSE-listed global investment bank with Class A common stock registered under the ticker HLI. Recent Form 8-K disclosures report quarterly and fiscal-year operating results, including segment information for Corporate Finance, Financial Restructuring, and Financial and Valuation Advisory.
The company’s filings also cover material agreements, capital-structure matters, and governance events. Disclosures include amendments to a voting trust agreement connected to common-stock voting arrangements, board composition changes, director election matters, advisory executive-compensation votes, auditor ratification, and other shareholder voting records.
CRAIN CHRISTOPHER M reported acquisition or exercise transactions in this Form 4 filing.
Houlihan Lokey’s General Counsel Christopher M. Crain reported an equity award and a voting trust transaction involving the company’s Class B Common Stock. He received a grant of 3,197 shares of Class B Common Stock under the 2016 Incentive Award Plan, which vest in four equal annual installments following the grant date. Separately, 3,197 shares of Class B Common Stock were deposited into the HL Voting Trust, where he retains investment control and dispositive power, bringing the Voting Trust’s holdings to 52,328 shares of Class B Common Stock.
Adelson Scott Joseph reported acquisition or exercise transactions in this Form 4 filing.
Houlihan Lokey CEO Scott Adelson reported equity awards and a voting trust transaction. He received 13,952 shares of Class B Common Stock under the 2016 Incentive Award Plan, vesting in four equal annual installments following the grant date.
He was also granted 3,322 performance shares of Class B Common Stock that vest over four years if revenue-growth performance goals are met, with unearned installments forfeited. Separately, 17,274 shares of Class B Common Stock were moved in a voting trust transaction, leaving 885,102 shares of this class held indirectly through the HL Voting Trust. Class B is convertible into Class A Common Stock on a one-for-one basis and has no expiration date.
ALLEY J LINDSEY reported acquisition or exercise transactions in this Form 4 filing.
HOULIHAN LOKEY, INC. reported that Chief Financial Officer Lindsey J. Alley received equity awards and restructured part of her holdings. On May 21, 2026, she was granted 3,778 shares of Class B Common Stock that vest in four equal annual installments. She was also granted 3,322 performance shares of Class B Common Stock that vest over four years only if revenue growth goals are met, with unearned installments forfeited. The same day, 7,100 Class B shares were deposited into the HL Voting Trust, while she retains investment control and dispositive power. Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis and has no expiration date.
Houlihan Lokey, Inc. director and co-chairman Scott L. Beiser converted and sold a small block of shares. On May 21, 2026, he converted 6,265 shares of Class B common stock into Class A common stock and then sold the same 6,265 Class A shares in an open-market transaction at a weighted average price of $150.26 per share, within a range of $149.83 to $150.89 per share. Following these transactions, he reported no directly held Class A shares, while remaining a trustee of the HL Voting Trust with an indirect pecuniary interest in 787,651 shares of Class B common stock, which are convertible into Class A common stock on a one-for-one basis and have no expiration date.
Houlihan Lokey director Cyrus D. Walker received an equity grant of 996 shares of Class A common stock. The award was recorded at a price of $0.00 per share, indicating a grant or similar acquisition rather than an open-market purchase. Following this award, Walker directly owns 7,111 shares of Houlihan Lokey’s Class A common stock, giving a clearer view of his current equity stake in the company.
Houlihan Lokey director Bassey Ekpedeme M received 797 shares of Class A common stock as a grant. The shares were acquired at no cash price to the director and are classified as a grant, award, or other acquisition. Following this transaction, the director directly holds 6,424 shares of Class A common stock.
Zucker Gillian Beth reported acquisition or exercise transactions in this Form 4 filing.
HOULIHAN LOKEY, INC. director Gillian Beth Zucker received an award of 996 shares of Class A common stock, reported at a price of $0.00 per share. After this grant, she directly holds a total of 6,529 Class A common shares.
Houlihan Lokey director Paul Andrew Zuber reported an indirect acquisition of 797 shares of Class A common stock described as a grant, award, or other acquisition. The shares are held indirectly through an LLC. Following this transaction, his indirect holdings reported in this filing total 7,005 shares of Class A common stock.
SCHRIESHEIM ROBERT A reported acquisition or exercise transactions in this Form 4 filing.
Houlihan Lokey director Robert A. Schriesheim received a grant of 1,129 shares of Class A common stock. The award was reported at a price of $0.00 per share, indicating a compensation-related share grant rather than an open-market purchase. Following this transaction, he directly holds 29,111 Class A shares.
Mund Ronald Scott reported acquisition or exercise transactions in this Form 4 filing.
Houlihan Lokey director Ronald Scott Mund received a grant of 476 shares of Class A common stock as equity compensation. The award was recorded at a price of $0.00 per share and increased his directly held position to 969 shares following the transaction.