SECURITIES AND EXCHANGE COMMISSION | ||||||||
Washington, D.C. 20549 | ||||||||
SCHEDULE 13D |
Under the Securities Exchange Act of 1934* | ||||||||
(Amendment No. 11) | ||||||||
Hamilton Lane Incorporated | ||||||||
(Name of Issuer) | ||||||||
Class A Common Stock, par value $0.001 | ||||||||
(Title of Class of Securities) | ||||||||
407497 106 | ||||||||
(CUSIP Number) | ||||||||
Lydia Gavalis General Counsel and Secretary Hamilton Lane Incorporated 110 Washington Street, Suite 1300 Conshohocken, PA 19428 Telephone: (610) 934-2222 with a copy to: Matthew H. Meyers Faegre Drinker Biddle & Reath LLP One Logan Square, Suite 2000 Philadelphia, PA 19103 Telephone: (215) 988-2700 | ||||||||
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) | ||||||||
March 7, 2024 | ||||||||
(Date of Event Which Requires Filing of this Statement) |
(1) | Name of Reporting Person HLA Investments, LLC | ||||||||||||||||
(2) | Check the Appropriate Box if a Member of a Group | ||||||||||||||||
(a) | x | ||||||||||||||||
(b) | ¨ | ||||||||||||||||
(3) | SEC Use Only | ||||||||||||||||
(4) | Source of Funds OO | ||||||||||||||||
(5) | Check box if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e) ¨ | ||||||||||||||||
(6) | Citizenship or Place of Organization Delaware | ||||||||||||||||
Number of Shares Beneficially Owned by Each Reporting Person With | (7) | Sole Voting Power 0 | |||||||||||||||
(8) | Shared Voting Power 16,103,315 | ||||||||||||||||
(9) | Sole Dispositive Power 9,298,672 | ||||||||||||||||
(10) | Shared Dispositive Power 0 | ||||||||||||||||
(11) | Aggregate Amount Beneficially Owned by Each Reporting Person 16,103,315 | ||||||||||||||||
(12) | Check box if the Aggregate Amount in Row (11) Excludes Certain Shares ¨ | ||||||||||||||||
(13) | Percent of Class Represented by Amount in Row (11) 29.6% | ||||||||||||||||
(14) | Type of Reporting Person (See Instructions) OO (Limited Liability Company) |
(1) | Name of Reporting Person HRHLA, LLC | ||||||||||||||||
(2) | Check the Appropriate Box if a Member of a Group | ||||||||||||||||
(a) | x | ||||||||||||||||
(b) | ¨ | ||||||||||||||||
(3) | SEC Use Only | ||||||||||||||||
(4) | Source of Funds OO | ||||||||||||||||
(5) | Check box if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e) ¨ | ||||||||||||||||
(6) | Citizenship or Place of Organization Delaware | ||||||||||||||||
Number of Shares Beneficially Owned by Each Reporting Person With | (7) | Sole Voting Power 0 | |||||||||||||||
(8) | Shared Voting Power 16,103,315 | ||||||||||||||||
(9) | Sole Dispositive Power 6,900,667 | ||||||||||||||||
(10) | Shared Dispositive Power 2,398,005 | ||||||||||||||||
(11) | Aggregate Amount Beneficially Owned by Each Reporting Person 16,103,315 | ||||||||||||||||
(12) | Check box if the Aggregate Amount in Row (11) Excludes Certain Shares ¨ | ||||||||||||||||
(13) | Percent of Class Represented by Amount in Row (11) 29.6% | ||||||||||||||||
(14) | Type of Reporting Person (See Instructions) OO (Limited Liability Company) |
(1) | Name of Reporting Person Hartley R. Rogers | ||||||||||||||||
(2) | Check the Appropriate Box if a Member of a Group | ||||||||||||||||
(a) | x | ||||||||||||||||
(b) | ¨ | ||||||||||||||||
(3) | SEC Use Only | ||||||||||||||||
(4) | Source of Funds OO | ||||||||||||||||
(5) | Check box if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e) ¨ | ||||||||||||||||
(6) | Citizenship or Place of Organization U.S.A. | ||||||||||||||||
Number of Shares Beneficially Owned by Each Reporting Person With | (7) | Sole Voting Power 0 | |||||||||||||||
(8) | Shared Voting Power 16,103,315 | ||||||||||||||||
(9) | Sole Dispositive Power 6,911,170 | ||||||||||||||||
(10) | Shared Dispositive Power 2,398,005 | ||||||||||||||||
(11) | Aggregate Amount Beneficially Owned by Each Reporting Person 16,103,315 | ||||||||||||||||
(12) | Check box if the Aggregate Amount in Row (11) Excludes Certain Shares ¨ | ||||||||||||||||
(13) | Percent of Class Represented by Amount in Row (11) 29.6% | ||||||||||||||||
(14) | Type of Reporting Person (See Instructions) IN |
(1) | Name of Reporting Person Hamilton Lane Advisors, Inc. | ||||||||||||||||
(2) | Check the Appropriate Box if a Member of a Group | ||||||||||||||||
(a) | x | ||||||||||||||||
(b) | ¨ | ||||||||||||||||
(3) | SEC Use Only | ||||||||||||||||
(4) | Source of Funds OO | ||||||||||||||||
(5) | Check box if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e) ¨ | ||||||||||||||||
(6) | Citizenship or Place of Organization Pennsylvania | ||||||||||||||||
Number of Shares Beneficially Owned by Each Reporting Person With | (7) | Sole Voting Power 0 | |||||||||||||||
(8) | Shared Voting Power 2,028,699 | ||||||||||||||||
(9) | Sole Dispositive Power 2,028,699 | ||||||||||||||||
(10) | Shared Dispositive Power 0 | ||||||||||||||||
(11) | Aggregate Amount Beneficially Owned by Each Reporting Person 2,028,699 | ||||||||||||||||
(12) | Check box if the Aggregate Amount in Row (11) Excludes Certain Shares ¨ | ||||||||||||||||
(13) | Percent of Class Represented by Amount in Row (11) 4.8% | ||||||||||||||||
(14) | Type of Reporting Person (See Instructions) CO |
(1) | Name of Reporting Person Mario L. Giannini | ||||||||||||||||
(2) | Check the Appropriate Box if a Member of a Group | ||||||||||||||||
(a) | x | ||||||||||||||||
(b) | ¨ | ||||||||||||||||
(3) | SEC Use Only | ||||||||||||||||
(4) | Source of Funds OO | ||||||||||||||||
(5) | Check box if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e) ¨ | ||||||||||||||||
(6) | Citizenship or Place of Organization U.S.A. | ||||||||||||||||
Number of Shares Beneficially Owned by Each Reporting Person With | (7) | Sole Voting Power 0 | |||||||||||||||
(8) | Shared Voting Power 2,408,829 | ||||||||||||||||
(9) | Sole Dispositive Power 2,125,197 | ||||||||||||||||
(10) | Shared Dispositive Power 283,632 | ||||||||||||||||
(11) | Aggregate Amount Beneficially Owned by Each Reporting Person 2,408,829 | ||||||||||||||||
(12) | Check box if the Aggregate Amount in Row (11) Excludes Certain Shares ¨ | ||||||||||||||||
(13) | Percent of Class Represented by Amount in Row (11) 5.6% | ||||||||||||||||
(14) | Type of Reporting Person (See Instructions) IN |
(1) | Name of Reporting Person Kyera Giannini | ||||||||||||||||
(2) | Check the Appropriate Box if a Member of a Group | ||||||||||||||||
(a) | x | ||||||||||||||||
(b) | ¨ | ||||||||||||||||
(3) | SEC Use Only | ||||||||||||||||
(4) | Source of Funds OO | ||||||||||||||||
(5) | Check box if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e) ¨ | ||||||||||||||||
(6) | Citizenship or Place of Organization U.S.A. | ||||||||||||||||
Number of Shares Beneficially Owned by Each Reporting Person With | (7) | Sole Voting Power 0 | |||||||||||||||
(8) | Shared Voting Power 238,648 | ||||||||||||||||
(9) | Sole Dispositive Power 238,648 | ||||||||||||||||
(10) | Shared Dispositive Power 0 | ||||||||||||||||
(11) | Aggregate Amount Beneficially Owned by Each Reporting Person 238,648 | ||||||||||||||||
(12) | Check box if the Aggregate Amount in Row (11) Excludes Certain Shares ¨ | ||||||||||||||||
(13) | Percent of Class Represented by Amount in Row (11) 0.6% | ||||||||||||||||
(14) | Type of Reporting Person (See Instructions) IN |
(1) | Name of Reporting Person Nicole Giannini | ||||||||||||||||
(2) | Check the Appropriate Box if a Member of a Group | ||||||||||||||||
(a) | x | ||||||||||||||||
(b) | ¨ | ||||||||||||||||
(3) | SEC Use Only | ||||||||||||||||
(4) | Source of Funds OO | ||||||||||||||||
(5) | Check box if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e) ¨ | ||||||||||||||||
(6) | Citizenship or Place of Organization U.S.A. | ||||||||||||||||
Number of Shares Beneficially Owned by Each Reporting Person With | (7) | Sole Voting Power 0 | |||||||||||||||
(8) | Shared Voting Power 238,648 | ||||||||||||||||
(9) | Sole Dispositive Power 238,648 | ||||||||||||||||
(10) | Shared Dispositive Power 0 | ||||||||||||||||
(11) | Aggregate Amount Beneficially Owned by Each Reporting Person 238,648 | ||||||||||||||||
(12) | Check box if the Aggregate Amount in Row (11) Excludes Certain Shares ¨ | ||||||||||||||||
(13) | Percent of Class Represented by Amount in Row (11) 0.6% | ||||||||||||||||
(14) | Type of Reporting Person (See Instructions) IN |
(1) | Name of Reporting Person The 2008 Sexton Des. Trust FBO Laura Sexton | ||||||||||||||||
(2) | Check the Appropriate Box if a Member of a Group | ||||||||||||||||
(a) | x | ||||||||||||||||
(b) | ¨ | ||||||||||||||||
(3) | SEC Use Only | ||||||||||||||||
(4) | Source of Funds OO | ||||||||||||||||
(5) | Check box if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e) ¨ | ||||||||||||||||
(6) | Citizenship or Place of Organization New York | ||||||||||||||||
Number of Shares Beneficially Owned by Each Reporting Person With | (7) | Sole Voting Power 0 | |||||||||||||||
(8) | Shared Voting Power 316,233 | ||||||||||||||||
(9) | Sole Dispositive Power 0 | ||||||||||||||||
(10) | Shared Dispositive Power 316,233 | ||||||||||||||||
(11) | Aggregate Amount Beneficially Owned by Each Reporting Person 316,233 | ||||||||||||||||
(12) | Check box if the Aggregate Amount in Row (11) Excludes Certain Shares ¨ | ||||||||||||||||
(13) | Percent of Class Represented by Amount in Row (11) 0.8% | ||||||||||||||||
(14) | Type of Reporting Person (See Instructions) OO (Trust) |
(1) | Name of Reporting Person The 2008 Sexton Des. Trust FBO Matthew Sexton | ||||||||||||||||
(2) | Check the Appropriate Box if a Member of a Group | ||||||||||||||||
(a) | x | ||||||||||||||||
(b) | ¨ | ||||||||||||||||
(3) | SEC Use Only | ||||||||||||||||
(4) | Source of Funds OO | ||||||||||||||||
(5) | Check box if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e) ¨ | ||||||||||||||||
(6) | Citizenship or Place of Organization New York | ||||||||||||||||
Number of Shares Beneficially Owned by Each Reporting Person With | (7) | Sole Voting Power 0 | |||||||||||||||
(8) | Shared Voting Power 316,233 | ||||||||||||||||
(9) | Sole Dispositive Power 0 | ||||||||||||||||
(10) | Shared Dispositive Power 316,233 | ||||||||||||||||
(11) | Aggregate Amount Beneficially Owned by Each Reporting Person 316,233 | ||||||||||||||||
(12) | Check box if the Aggregate Amount in Row (11) Excludes Certain Shares ¨ | ||||||||||||||||
(13) | Percent of Class Represented by Amount in Row (11) 0.8% | ||||||||||||||||
(14) | Type of Reporting Person (See Instructions) OO (Trust) |
(1) | Name of Reporting Person O. Griffith Sexton | ||||||||||||||||
(2) | Check the Appropriate Box if a Member of a Group | ||||||||||||||||
(a) | x | ||||||||||||||||
(b) | ¨ | ||||||||||||||||
(3) | SEC Use Only | ||||||||||||||||
(4) | Source of Funds OO | ||||||||||||||||
(5) | Check box if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e) ¨ | ||||||||||||||||
(6) | Citizenship or Place of Organization U.S.A. | ||||||||||||||||
Number of Shares Beneficially Owned by Each Reporting Person With | (7) | Sole Voting Power 0 | |||||||||||||||
(8) | Shared Voting Power 652,064 | ||||||||||||||||
(9) | Sole Dispositive Power 19,598 | ||||||||||||||||
(10) | Shared Dispositive Power 632,466 | ||||||||||||||||
(11) | Aggregate Amount Beneficially Owned by Each Reporting Person 652,064 | ||||||||||||||||
(12) | Check box if the Aggregate Amount in Row (11) Excludes Certain Shares ¨ | ||||||||||||||||
(13) | Percent of Class Represented by Amount in Row (11) 1.6% | ||||||||||||||||
(14) | Type of Reporting Person (See Instructions) OO (Trustee), IN |
(1) | Name of Reporting Person Oakville Number 2 Trust | ||||||||||||||||
(2) | Check the Appropriate Box if a Member of a Group | ||||||||||||||||
(a) | x | ||||||||||||||||
(b) | ¨ | ||||||||||||||||
(3) | SEC Use Only | ||||||||||||||||
(4) | Source of Funds OO | ||||||||||||||||
(5) | Check box if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e) ¨ | ||||||||||||||||
(6) | Citizenship or Place of Organization Guernsey | ||||||||||||||||
Number of Shares Beneficially Owned by Each Reporting Person With | (7) | Sole Voting Power 0 | |||||||||||||||
(8) | Shared Voting Power 480,022 | ||||||||||||||||
(9) | Sole Dispositive Power 0 | ||||||||||||||||
(10) | Shared Dispositive Power 480,022 | ||||||||||||||||
(11) | Aggregate Amount Beneficially Owned by Each Reporting Person 480,022 | ||||||||||||||||
(12) | Check box if the Aggregate Amount in Row (11) Excludes Certain Shares ¨ | ||||||||||||||||
(13) | Percent of Class Represented by Amount in Row (11) 1.2% | ||||||||||||||||
(14) | Type of Reporting Person (See Instructions) OO (Trust) |
(1) | Name of Reporting Person Rysaffe Trust Company (C.I.) Limited | ||||||||||||||||
(2) | Check the Appropriate Box if a Member of a Group | ||||||||||||||||
(a) | x | ||||||||||||||||
(b) | ¨ | ||||||||||||||||
(3) | SEC Use Only | ||||||||||||||||
(4) | Source of Funds OO | ||||||||||||||||
(5) | Check box if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e) ¨ | ||||||||||||||||
(6) | Citizenship or Place of Organization Guernsey | ||||||||||||||||
Number of Shares Beneficially Owned by Each Reporting Person With | (7) | Sole Voting Power 0 | |||||||||||||||
(8) | Shared Voting Power 480,022 | ||||||||||||||||
(9) | Sole Dispositive Power 0 | ||||||||||||||||
(10) | Shared Dispositive Power 480,022 | ||||||||||||||||
(11) | Aggregate Amount Beneficially Owned by Each Reporting Person 480,022 | ||||||||||||||||
(12) | Check box if the Aggregate Amount in Row (11) Excludes Certain Shares ¨ | ||||||||||||||||
(13) | Percent of Class Represented by Amount in Row (11) 1.2% | ||||||||||||||||
(14) | Type of Reporting Person (See Instructions) OO (Trustee) |
(1) | Name of Reporting Person Edward B. Whittemore | ||||||||||||||||
(2) | Check the Appropriate Box if a Member of a Group | ||||||||||||||||
(a) | x | ||||||||||||||||
(b) | ¨ | ||||||||||||||||
(3) | SEC Use Only | ||||||||||||||||
(4) | Source of Funds OO | ||||||||||||||||
(5) | Check box if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e) ¨ | ||||||||||||||||
(6) | Citizenship or Place of Organization U.S.A. | ||||||||||||||||
Number of Shares Beneficially Owned by Each Reporting Person With | (7) | Sole Voting Power 0 | |||||||||||||||
(8) | Shared Voting Power 120,000 | ||||||||||||||||
(9) | Sole Dispositive Power 0 | ||||||||||||||||
(10) | Shared Dispositive Power 120,000 | ||||||||||||||||
(11) | Aggregate Amount Beneficially Owned by Each Reporting Person 120,000 | ||||||||||||||||
(12) | Check box if the Aggregate Amount in Row (11) Excludes Certain Shares ¨ | ||||||||||||||||
(13) | Percent of Class Represented by Amount in Row (11) 0.3% | ||||||||||||||||
(14) | Type of Reporting Person (See Instructions) IN |
(1) | Name of Reporting Person Laurence F. Whittemore | ||||||||||||||||
(2) | Check the Appropriate Box if a Member of a Group | ||||||||||||||||
(a) | x | ||||||||||||||||
(b) | ¨ | ||||||||||||||||
(3) | SEC Use Only | ||||||||||||||||
(4) | Source of Funds OO | ||||||||||||||||
(5) | Check box if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e) ¨ | ||||||||||||||||
(6) | Citizenship or Place of Organization U.S.A. | ||||||||||||||||
Number of Shares Beneficially Owned by Each Reporting Person With | (7) | Sole Voting Power 0 | |||||||||||||||
(8) | Shared Voting Power 156,880 | ||||||||||||||||
(9) | Sole Dispositive Power 0 | ||||||||||||||||
(10) | Shared Dispositive Power 156,880 | ||||||||||||||||
(11) | Aggregate Amount Beneficially Owned by Each Reporting Person 156,880 | ||||||||||||||||
(12) | Check box if the Aggregate Amount in Row (11) Excludes Certain Shares ¨ | ||||||||||||||||
(13) | Percent of Class Represented by Amount in Row (11) 0.4% | ||||||||||||||||
(14) | Type of Reporting Person (See Instructions) IN |
(1) | Name of Reporting Person Michael Schmertzler | ||||||||||||||||
(2) | Check the Appropriate Box if a Member of a Group | ||||||||||||||||
(a) | x | ||||||||||||||||
(b) | ¨ | ||||||||||||||||
(3) | SEC Use Only | ||||||||||||||||
(4) | Source of Funds OO | ||||||||||||||||
(5) | Check box if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e) ¨ | ||||||||||||||||
(6) | Citizenship or Place of Organization U.S.A. | ||||||||||||||||
Number of Shares Beneficially Owned by Each Reporting Person With | (7) | Sole Voting Power 0 | |||||||||||||||
(8) | Shared Voting Power 725,005 | ||||||||||||||||
(9) | Sole Dispositive Power 0 | ||||||||||||||||
(10) | Shared Dispositive Power 725,005 | ||||||||||||||||
(11) | Aggregate Amount Beneficially Owned by Each Reporting Person 725,005 | ||||||||||||||||
(12) | Check box if the Aggregate Amount in Row (11) Excludes Certain Shares ¨ | ||||||||||||||||
(13) | Percent of Class Represented by Amount in Row (11) 1.8% | ||||||||||||||||
(14) | Type of Reporting Person (See Instructions) IN |
(1) | Name of Reporting Person Erik R. Hirsch | ||||||||||||||||
(2) | Check the Appropriate Box if a Member of a Group | ||||||||||||||||
(a) | x | ||||||||||||||||
(b) | ¨ | ||||||||||||||||
(3) | SEC Use Only | ||||||||||||||||
(4) | Source of Funds OO | ||||||||||||||||
(5) | Check box if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e) ¨ | ||||||||||||||||
(6) | Citizenship or Place of Organization U.S.A. | ||||||||||||||||
Number of Shares Beneficially Owned by Each Reporting Person With | (7) | Sole Voting Power 0 | |||||||||||||||
(8) | Shared Voting Power 1,192,552 | ||||||||||||||||
(9) | Sole Dispositive Power 1,192,552 | ||||||||||||||||
(10) | Shared Dispositive Power 0 | ||||||||||||||||
(11) | Aggregate Amount Beneficially Owned by Each Reporting Person 1,192,552 | ||||||||||||||||
(12) | Check box if the Aggregate Amount in Row (11) Excludes Certain Shares ¨ | ||||||||||||||||
(13) | Percent of Class Represented by Amount in Row (11) 2.9% | ||||||||||||||||
(14) | Type of Reporting Person (See Instructions) IN |
(1) | Name of Reporting Person Juan Delgado-Moreira | ||||||||||||||||
(2) | Check the Appropriate Box if a Member of a Group | ||||||||||||||||
(a) | x | ||||||||||||||||
(b) | ¨ | ||||||||||||||||
(3) | SEC Use Only | ||||||||||||||||
(4) | Source of Funds OO | ||||||||||||||||
(5) | Check box if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e) ¨ | ||||||||||||||||
(6) | Citizenship or Place of Organization Spain | ||||||||||||||||
Number of Shares Beneficially Owned by Each Reporting Person With | (7) | Sole Voting Power 0 | |||||||||||||||
(8) | Shared Voting Power 1,280,902 | ||||||||||||||||
(9) | Sole Dispositive Power 1,280,902 | ||||||||||||||||
(10) | Shared Dispositive Power 0 | ||||||||||||||||
(11) | Aggregate Amount Beneficially Owned by Each Reporting Person 1,280,902 | ||||||||||||||||
(12) | Check box if the Aggregate Amount in Row (11) Excludes Certain Shares ¨ | ||||||||||||||||
(13) | Percent of Class Represented by Amount in Row (11) 3.2% | ||||||||||||||||
(14) | Type of Reporting Person (See Instructions) IN |
(1) | Name of Reporting Person Paul Yett | ||||||||||||||||
(2) | Check the Appropriate Box if a Member of a Group | ||||||||||||||||
(a) | x | ||||||||||||||||
(b) | ¨ | ||||||||||||||||
(3) | SEC Use Only | ||||||||||||||||
(4) | Source of Funds OO | ||||||||||||||||
(5) | Check box if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e) ¨ | ||||||||||||||||
(6) | Citizenship or Place of Organization U.S.A. | ||||||||||||||||
Number of Shares Beneficially Owned by Each Reporting Person With | (7) | Sole Voting Power 0 | |||||||||||||||
(8) | Shared Voting Power 231,129 | ||||||||||||||||
(9) | Sole Dispositive Power 231,129 | ||||||||||||||||
(10) | Shared Dispositive Power 0 | ||||||||||||||||
(11) | Aggregate Amount Beneficially Owned by Each Reporting Person 231,129 | ||||||||||||||||
(12) | Check box if the Aggregate Amount in Row (11) Excludes Certain Shares ¨ | ||||||||||||||||
(13) | Percent of Class Represented by Amount in Row (11) 0.6% | ||||||||||||||||
(14) | Type of Reporting Person (See Instructions) IN |
(1) | Name of Reporting Person Kevin J. Lucey | ||||||||||||||||
(2) | Check the Appropriate Box if a Member of a Group | ||||||||||||||||
(a) | x | ||||||||||||||||
(b) | ¨ | ||||||||||||||||
(3) | SEC Use Only | ||||||||||||||||
(4) | Source of Funds OO | ||||||||||||||||
(5) | Check box if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e) ¨ | ||||||||||||||||
(6) | Citizenship or Place of Organization U.S.A. | ||||||||||||||||
Number of Shares Beneficially Owned by Each Reporting Person With | (7) | Sole Voting Power 0 | |||||||||||||||
(8) | Shared Voting Power 91,554 | ||||||||||||||||
(9) | Sole Dispositive Power 91,554 | ||||||||||||||||
(10) | Shared Dispositive Power 0 | ||||||||||||||||
(11) | Aggregate Amount Beneficially Owned by Each Reporting Person 91,554 | ||||||||||||||||
(12) | Check box if the Aggregate Amount in Row (11) Excludes Certain Shares ¨ | ||||||||||||||||
(13) | Percent of Class Represented by Amount in Row (11) 0.2% | ||||||||||||||||
(14) | Type of Reporting Person (See Instructions) IN |
(1) | Name of Reporting Person Tara Devlin | ||||||||||||||||
(2) | Check the Appropriate Box if a Member of a Group | ||||||||||||||||
(a) | x | ||||||||||||||||
(b) | ¨ | ||||||||||||||||
(3) | SEC Use Only | ||||||||||||||||
(4) | Source of Funds OO | ||||||||||||||||
(5) | Check box if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e) ¨ | ||||||||||||||||
(6) | Citizenship or Place of Organization U.S.A. | ||||||||||||||||
Number of Shares Beneficially Owned by Each Reporting Person With | (7) | Sole Voting Power 0 | |||||||||||||||
(8) | Shared Voting Power 212,312 | ||||||||||||||||
(9) | Sole Dispositive Power 212,312 | ||||||||||||||||
(10) | Shared Dispositive Power 0 | ||||||||||||||||
(11) | Aggregate Amount Beneficially Owned by Each Reporting Person 212,312 | ||||||||||||||||
(12) | Check box if the Aggregate Amount in Row (11) Excludes Certain Shares ¨ | ||||||||||||||||
(13) | Percent of Class Represented by Amount in Row (11) 0.5% | ||||||||||||||||
(14) | Type of Reporting Person (See Instructions) IN |
(1) | Name of Reporting Person Stephen R. Brennan | ||||||||||||||||
(2) | Check the Appropriate Box if a Member of a Group | ||||||||||||||||
(a) | x | ||||||||||||||||
(b) | ¨ | ||||||||||||||||
(3) | SEC Use Only | ||||||||||||||||
(4) | Source of Funds OO | ||||||||||||||||
(5) | Check box if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e) ¨ | ||||||||||||||||
(6) | Citizenship or Place of Organization U.S.A. | ||||||||||||||||
Number of Shares Beneficially Owned by Each Reporting Person With | (7) | Sole Voting Power 0 | |||||||||||||||
(8) | Shared Voting Power 203,470 | ||||||||||||||||
(9) | Sole Dispositive Power 203,470 | ||||||||||||||||
(10) | Shared Dispositive Power 0 | ||||||||||||||||
(11) | Aggregate Amount Beneficially Owned by Each Reporting Person 203,470 | ||||||||||||||||
(12) | Check box if the Aggregate Amount in Row (11) Excludes Certain Shares ¨ | ||||||||||||||||
(13) | Percent of Class Represented by Amount in Row (11) 0.5% | ||||||||||||||||
(14) | Type of Reporting Person (See Instructions) IN |
(1) | Name of Reporting Person Andrea Anigati Kramer | ||||||||||||||||
(2) | Check the Appropriate Box if a Member of a Group | ||||||||||||||||
(a) | x | ||||||||||||||||
(b) | ¨ | ||||||||||||||||
(3) | SEC Use Only | ||||||||||||||||
(4) | Source of Funds OO | ||||||||||||||||
(5) | Check box if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e) ¨ | ||||||||||||||||
(6) | Citizenship or Place of Organization U.S.A. | ||||||||||||||||
Number of Shares Beneficially Owned by Each Reporting Person With | (7) | Sole Voting Power 0 | |||||||||||||||
(8) | Shared Voting Power 415,147 | ||||||||||||||||
(9) | Sole Dispositive Power 415,147 | ||||||||||||||||
(10) | Shared Dispositive Power 0 | ||||||||||||||||
(11) | Aggregate Amount Beneficially Owned by Each Reporting Person 415,147 | ||||||||||||||||
(12) | Check box if the Aggregate Amount in Row (11) Excludes Certain Shares ¨ | ||||||||||||||||
(13) | Percent of Class Represented by Amount in Row (11) 1.0% | ||||||||||||||||
(14) | Type of Reporting Person (See Instructions) IN |
(1) | Name of Reporting Person Michael Kelly | ||||||||||||||||
(2) | Check the Appropriate Box if a Member of a Group | ||||||||||||||||
(a) | x | ||||||||||||||||
(b) | ¨ | ||||||||||||||||
(3) | SEC Use Only | ||||||||||||||||
(4) | Source of Funds OO | ||||||||||||||||
(5) | Check box if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e) ¨ | ||||||||||||||||
(6) | Citizenship or Place of Organization U.S.A. | ||||||||||||||||
Number of Shares Beneficially Owned by Each Reporting Person With | (7) | Sole Voting Power 0 | |||||||||||||||
(8) | Shared Voting Power 100,000 | ||||||||||||||||
(9) | Sole Dispositive Power 100,000 | ||||||||||||||||
(10) | Shared Dispositive Power 0 | ||||||||||||||||
(11) | Aggregate Amount Beneficially Owned by Each Reporting Person 100,000 | ||||||||||||||||
(12) | Check box if the Aggregate Amount in Row (11) Excludes Certain Shares ¨ | ||||||||||||||||
(13) | Percent of Class Represented by Amount in Row (11) 0.2% | ||||||||||||||||
(14) | Type of Reporting Person (See Instructions) IN |
(1) | Name of Reporting Person Thomas Kerr | ||||||||||||||||
(2) | Check the Appropriate Box if a Member of a Group | ||||||||||||||||
(a) | x | ||||||||||||||||
(b) | ¨ | ||||||||||||||||
(3) | SEC Use Only | ||||||||||||||||
(4) | Source of Funds OO | ||||||||||||||||
(5) | Check box if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e) ¨ | ||||||||||||||||
(6) | Citizenship or Place of Organization U.S.A. | ||||||||||||||||
Number of Shares Beneficially Owned by Each Reporting Person With | (7) | Sole Voting Power 0 | |||||||||||||||
(8) | Shared Voting Power 186,138 | ||||||||||||||||
(9) | Sole Dispositive Power 186,138 | ||||||||||||||||
(10) | Shared Dispositive Power 0 | ||||||||||||||||
(11) | Aggregate Amount Beneficially Owned by Each Reporting Person 186,138 | ||||||||||||||||
(12) | Check box if the Aggregate Amount in Row (11) Excludes Certain Shares ¨ | ||||||||||||||||
(13) | Percent of Class Represented by Amount in Row (11) 0.5% | ||||||||||||||||
(14) | Type of Reporting Person (See Instructions) IN |
(1) | Name of Reporting Person David Helgerson | ||||||||||||||||
(2) | Check the Appropriate Box if a Member of a Group | ||||||||||||||||
(a) | x | ||||||||||||||||
(b) | ¨ | ||||||||||||||||
(3) | SEC Use Only | ||||||||||||||||
(4) | Source of Funds OO | ||||||||||||||||
(5) | Check box if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e) ¨ | ||||||||||||||||
(6) | Citizenship or Place of Organization U.S.A. | ||||||||||||||||
Number of Shares Beneficially Owned by Each Reporting Person With | (7) | Sole Voting Power 0 | |||||||||||||||
(8) | Shared Voting Power 199,477 | ||||||||||||||||
(9) | Sole Dispositive Power 199,477 | ||||||||||||||||
(10) | Shared Dispositive Power 0 | ||||||||||||||||
(11) | Aggregate Amount Beneficially Owned by Each Reporting Person 199,477 | ||||||||||||||||
(12) | Check box if the Aggregate Amount in Row (11) Excludes Certain Shares ¨ | ||||||||||||||||
(13) | Percent of Class Represented by Amount in Row (11) 0.5% | ||||||||||||||||
(14) | Type of Reporting Person (See Instructions) IN |
(1) | Name of Reporting Person Michael Donohue | ||||||||||||||||
(2) | Check the Appropriate Box if a Member of a Group | ||||||||||||||||
(a) | x | ||||||||||||||||
(b) | ¨ | ||||||||||||||||
(3) | SEC Use Only | ||||||||||||||||
(4) | Source of Funds OO | ||||||||||||||||
(5) | Check box if Disclosure of Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e) ¨ | ||||||||||||||||
(6) | Citizenship or Place of Organization U.S.A. | ||||||||||||||||
Number of Shares Beneficially Owned by Each Reporting Person With | (7) | Sole Voting Power 0 | |||||||||||||||
(8) | Shared Voting Power 59,368 | ||||||||||||||||
(9) | Sole Dispositive Power 59,368 | ||||||||||||||||
(10) | Shared Dispositive Power 0 | ||||||||||||||||
(11) | Aggregate Amount Beneficially Owned by Each Reporting Person 59,368 | ||||||||||||||||
(12) | Check box if the Aggregate Amount in Row (11) Excludes Certain Shares ¨ | ||||||||||||||||
(13) | Percent of Class Represented by Amount in Row (11) 0.1% | ||||||||||||||||
(14) | Type of Reporting Person (See Instructions) IN |
(c) | Certain of the Reporting Persons hold positions at the Issuer and its subsidiaries as their principal occupation. | |||||||
Name | Principal Occupation (at Issuer) | |||||||
Hartley R. Rogers | Executive Co-Chairman, Director | |||||||
Mario L. Giannini | Executive Co-Chairman, Director | |||||||
Erik R. Hirsch | Co-Chief Executive Officer, Director | |||||||
Juan Delgado-Moreira | Co-Chief Executive Officer, Director | |||||||
Andrea Anigati Kramer | Chief Operating Officer | |||||||
Stephen R. Brennan | Head of Private Wealth Solutions | |||||||
Tara Devlin | Managing Director, Client Solutions | |||||||
David Helgerson | Head of Impact Investments | |||||||
Thomas Kerr | Co-Head of Investments, Head of Secondary Investments | |||||||
Paul Yett | Director of ESG & Sustainability |
Reporting Person | Number of Shares Beneficially Owned | Percentage of Class A Common Stock Outstanding(1) | ||||||
HLAI | 16,103,315 | 30.0 | % | |||||
HRHLA | 16,103,315 | 30.0 | % | |||||
Hartley R. Rogers | 16,103,315 | 30.0 | % | |||||
HLA Inc. | 2,028,699 | 5.0 | % | |||||
Mario L. Giannini | 2,408,829 | 6.0 | % | |||||
Kyera Giannini | 238,648 | * | ||||||
Nicole Giannini | 238,648 | * | ||||||
O. Griffith Sexton | 652,064 | 2.0 | % | |||||
Laura Sexton Trust | 316,233 | * | ||||||
Matthew Sexton Trust | 316,233 | * | ||||||
Oakville Trust | 480,022 | 1.0 | % | |||||
Rysaffe | 480,022 | 1.0 | % | |||||
Edward B. Whittemore | 120,000 | * | ||||||
Laurence F. Whittemore | 156,880 | * | ||||||
Michael Schmertzler | 725,005 | 2.0 | % | |||||
Erik R. Hirsch | 1,192,552 | 3.0 | % | |||||
Juan Delgado-Moreira | 1,280,902 | 3.0 | % | |||||
Paul Yett | 231,129 | * | ||||||
Kevin J. Lucey | 91,554 | * | ||||||
Tara Devlin | 212,312 | * | ||||||
Stephen R. Brennan | 203,470 | * | ||||||
Andrea Anigati Kramer | 415,147 | 1.0 | % | |||||
Michael Kelly | 100,000 | * | ||||||
Thomas Kerr | 186,138 | * | ||||||
David Helgerson | 199,477 | * | ||||||
Michael Donohue | 59,368 | * | ||||||
Total for Group | 16,103,315 | 29.6 | % |
Reporting Person | Number of Class B Units Exchanged(1) | Number of Class C Units Exchanged(2) | Shares of Class A Common Stock Sold | ||||||||
Hartley R. Rogers | 400,000(3) | – | – | ||||||||
Laura Sexton Trust | 50,000(4) | – | – | ||||||||
Matthew Sexton Trust | 50,000(5) | – | – | ||||||||
Edward B. Whittemore | 10,000(6) | – | – | ||||||||
Mario L. Giannini | 1,000,000 | – | – | ||||||||
Kyera Giannini | 50,000 | – | – | ||||||||
Nicole Giannini | 50,000 | – | – | ||||||||
Stephen R. Brennan | – | 20,000(7) | – | ||||||||
Thomas Kerr | 10,000(7) | – | – | ||||||||
Andrea Anigati Kramer | – | 35,000(7) | – | ||||||||
Kevin Lucey | 124,872(7) | – | – | ||||||||
Oakville Trust | – | – | 55,000(8) | ||||||||
HLAI | 510,000(9) | – | – | ||||||||
HRHLA | 510,000(9) | – | – |
Exhibit | Description | ||||
1. | Joint Filing Agreement as required by Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended. | ||||
2. | Form of Lock-Up Agreement. | ||||
3. | Amendment No. 3 to the Fourth Amended and Restated Limited Liability Company Agreement of Hamilton Lane Advisors, L.L.C., dated as of May 24, 2023, by and among Hamilton Lane Advisors, L.L.C. and its members (incorporated by reference to Exhibit 10.4 to the Issuer's Form 10-K filed with the SEC on May 25, 2023). |
1. | HLA Investments, LLC | |||||||
By: | /s/ Lauren Platko | |||||||
Name: | Lauren Platko | |||||||
Title: | Attorney-in-Fact | |||||||
2. | HRHLA, LLC | |||||||
By: | /s/ Lauren Platko | |||||||
Name: | Lauren Platko | |||||||
Title: | Attorney-in-Fact | |||||||
3. | Hamilton Lane Advisors, Inc. | |||||||
By: | /s/ Lauren Platko | |||||||
Name: | Lauren Platko | |||||||
Title: | Attorney-in-Fact | |||||||
4. | /s/ Lauren Platko, Attorney-in-Fact | |||||||
Hartley R. Rogers | ||||||||
5. | /s/ Lauren Platko, Attorney-in-Fact | |||||||
Mario L. Giannini | ||||||||
6. | /s/ Lauren Platko, Attorney-in-Fact | |||||||
Kyera Giannini | ||||||||
7. | /s/ Lauren Platko, Attorney-in-Fact | |||||||
Nicole Giannini | ||||||||
8. | /s/ Lauren Platko, Attorney-in-Fact | |||||||
O. Griffith Sexton | ||||||||
9. | The 2008 Sexton Des. Trust FBO Laura Sexton | |||||||
By: | /s/ Lauren Platko | |||||||
Name: | Lauren Platko | |||||||
Title: | Attorney-in-Fact |
10. | The 2008 Sexton Des. Trust FBO Matthew Sexton | |||||||
By: | /s/ Lauren Platko | |||||||
Name: | Lauren Platko | |||||||
Title: | Attorney-in-Fact | |||||||
11. | Oakville Number 2 Trust | |||||||
By: | /s/ Lauren Platko | |||||||
Name: | Lauren Platko | |||||||
Title: | Attorney-in-Fact | |||||||
12. | Rysaffe Trust Company (C.I.) Limited | |||||||
By: | /s/ Lauren Platko | |||||||
Name: | Lauren Platko | |||||||
Title: | Attorney-in-Fact | |||||||
13. | /s/ Lauren Platko, Attorney-in-Fact | |||||||
Edward B. Whittemore | ||||||||
14. | /s/ Lauren Platko, Attorney-in-Fact | |||||||
Laurence F. Whittemore | ||||||||
15. | /s/ Lauren Platko, Attorney-in-Fact | |||||||
Michael Schmertzler | ||||||||
16. | /s/ Lauren Platko, Attorney-in-Fact | |||||||
Erik R. Hirsch | ||||||||
17. | /s/ Lauren Platko, Attorney-in-Fact | |||||||
Kevin J. Lucey | ||||||||
18. | /s/ Lauren Platko, Attorney-in-Fact | |||||||
Juan Delgado-Moreira | ||||||||
19. | /s/ Lauren Platko, Attorney-in-Fact | |||||||
Paul Yett | ||||||||
20. | /s/ Lauren Platko, Attorney-in-Fact | |||||||
Tara Devlin | ||||||||
21. | /s/ Lauren Platko, Attorney-in-Fact | |||||||
Andrea Anigati Kramer | ||||||||
22. | /s/ Lauren Platko, Attorney-in-Fact | |||||||
Michael Kelly | ||||||||
23. | /s/ Lauren Platko, Attorney-in-Fact | |||||||
Stephen R. Brennan | ||||||||
24. | /s/ Lauren Platko, Attorney-in-Fact | |||||||
Thomas Kerr | ||||||||
25. | /s/ Lauren Platko, Attorney-in-Fact | |||||||
David Helgerson | ||||||||
26. | /s/ Lauren Platko, Attorney-in-Fact | |||||||
Michael Donohue |