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.
Morgan Stanley Smith Barney LLC submitted a Form 144 reporting a proposed sale of 6,265 shares of Common Stock tied to restricted stock vesting under a registered plan, with the reported vesting date of 05/15/2026.
Houlihan Lokey co-chairman Paul Eric Siegert reported a tax-withholding share disposition through the HL Voting Trust. On the vesting of existing awards under the 2016 Incentive Award Plan, 9,359 shares of Class B common stock were withheld at $150.35 per share to cover taxes. Following this, 375,298 Class B shares are held indirectly by the HL Voting Trust, which holds stock that is convertible into Class A common stock on a one-for-one basis with no expiration date.
Houlihan Lokey General Counsel Christopher M. Crain reported a tax-related share disposition. On this Form 4, 2,107 shares of Class B common stock were withheld at a price of $150.35 per share to cover taxes upon vesting of existing awards under the 2016 Incentive Award Plan.
The shares are held indirectly through the HL Voting Trust, over which Crain retains investment control and dispositive power. After this tax-withholding transaction, he indirectly holds 49,131 shares of Class B common stock, which is convertible into Class A common stock on a one-for-one basis and has no expiration date.
Houlihan Lokey director Todd J. Carter reported a routine tax-withholding transaction involving 13,707 shares of Class B Common Stock held indirectly through the HL Voting Trust. These shares were withheld to cover taxes upon vesting of existing awards under the 2016 Incentive Award Plan. After the disposition, 76,198 shares of Class B Common Stock remain held by the HL Voting Trust, which are convertible into Class A Common Stock on a one-for-one basis with no expiration date.
Houlihan Lokey director and co-chairman Irwin Gold, as trustee of the HL Voting Trust, reported a tax-related share disposition. The trust had 4,619 shares of Class B common stock withheld at $150.35 per share to cover taxes on vesting awards under the 2016 Incentive Award Plan.
Following this tax-withholding disposition, the HL Voting Trust holds 1,061,766 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 and co-chairman Scott L. Beiser reported a tax-withholding share disposition through the HL Voting Trust. On the transaction date, 6,497 shares of Class B Common Stock were withheld to cover taxes upon vesting of awards under the 2016 Incentive Award Plan, leaving 793,916 shares held indirectly. The Class B shares are convertible into Class A Common Stock on a one-for-one basis and have no expiration date.
Houlihan Lokey Chief Financial Officer Lindsey J. Alley reported a routine tax-related share disposition. On the vesting of existing equity awards under the 2016 Incentive Award Plan, 2,983 shares of Class B common stock held through the HL Voting Trust were withheld at a reference price of $150.35 per share to cover tax obligations. After this withholding, Alley indirectly holds 67,372 shares of Class B common stock through the trust, over which investment control and dispositive power are retained. This Form 4 reflects compensation-related tax withholding rather than an open-market sale.
Houlihan Lokey CEO Scott Joseph Adelson, through the HL Voting Trust, reported a tax-withholding disposition of 11,093 shares of Class B Common Stock on May 15, 2026. The shares were valued at $150.35 per share and were withheld to cover taxes upon vesting of awards.
Following this non-market transaction, indirect holdings held via the HL Voting Trust totaled 867,828 shares. The Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis and has no expiration date.
Kayne Anderson Rudnick Investment Management, LLC reported beneficial ownership of 2,642,309 shares of Houlihan Lokey Inc common stock, representing 4.9% of the class as of 03/31/2026. The filing shows sole voting power over 1,495,486 shares and sole dispositive power over 1,722,220 shares. The amendment is signed by the firm's Chief Compliance Officer on 05/14/2026.
Houlihan Lokey reported record fiscal 2026 results, with revenues of $2.62 billion versus $2.39 billion a year earlier. Full-year diluted EPS rose to $6.22 from $5.82, and adjusted diluted EPS increased to $7.56 from $6.29, reflecting higher Corporate Finance and valuation activity.
Fourth-quarter results were softer, as revenues declined to $636 million from $666 million and diluted EPS fell to $1.47 from $1.76, mainly due to lower Financial Restructuring revenue. The Board raised the quarterly dividend by 16.7% to $0.70 per share and the company ended March 31, 2026 with $1.36 billion of unrestricted cash, cash equivalents, and investment securities.