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 General Counsel Christopher M. Crain reported a small, pre-planned share sale combined with a share class conversion. On April 1, 2026, he converted 500 shares of Class B Common Stock into 500 shares of Class A Common Stock on a one-for-one basis, then sold the 500 Class A shares at $143.40 per share under a Rule 10b5-1 trading plan adopted on November 18, 2024. Following these direct transactions, he no longer holds these shares directly but continues to have investment control and dispositive power over 51,238 shares of Class B Common Stock held indirectly through the HL Voting Trust, which are convertible into an equal number of Class A shares.
The filing shows a Form 144 notice reporting the proposed sale of 500 shares of Common Stock by a selling party associated with a 10b5-1 plan. The sale date listed is 01/02/2026 and the transaction amount is shown as $87,085.00. The securities were originally issued as an RSA on 08/13/2015.
The Vanguard Group filed an Amendment No. 9 to a Schedule 13G/A reporting beneficial ownership in Common Stock of Houlihan Lokey Inc. The filing states 0 shares beneficially owned and 0% of the class. It explains an internal realignment effective January 12, 2026, and that certain subsidiaries now report separately.
Houlihan Lokey, Inc. filed a prospectus supplement covering the possible resale of up to 4,009 shares of its Class A common stock issuable upon conversion of an equal number of Class B shares held by former members of Waller Helms Advisors LLC.
The supplement also covers the possible resale of some or all of 28,412 Class A shares issuable upon conversion of an equal number of Class B shares held by the former members of 7 Mile Advisors, LLC, issued upon attainment of post-closing performance targets and conversion of related convertible notes. The company also filed a legal opinion from Latham & Watkins LLP as an exhibit.
Houlihan Lokey is registering 32,421 shares of Class A common stock for resale by selling stockholders. The prospectus supplement states these shares are issuable upon conversion of Class B shares and may be sold from time to time by the named selling stockholders; the company will receive no proceeds from such resales. The filing notes potential future registration obligations tied to post-closing performance that could add shares with a value of up to $45.0 million and $12.3 million, respectively, if certain targets are met. Shares outstanding were 54,450,589 Class A and 15,334,710 Class B as of February 18, 2026.
Houlihan Lokey, Inc. director Robert A. Schriesheim reported selling 5,000 shares of Class A common stock on February 6, 2026, at a price of $170.86 per share. After this transaction, he beneficially owns 27,982 shares of Houlihan Lokey common stock, held in direct ownership.
Houlihan Lokey reported strong results for the quarter ended December 31, 2025, with revenues of $717.1 million, up 13% from a year earlier, and net income of $116.5 million, up 22%. Growth was led by Corporate Finance and Financial Restructuring, both benefiting from higher average fees and more completed transactions.
For the first nine months of the fiscal year, revenues rose 15% to $1.98 billion, while net income increased 17% to $325.9 million. The compensation ratio edged higher to about 64%, but operating income still improved 11%. The company ended the period with $1.18 billion in unrestricted cash and investment securities, no borrowings on its $150 million credit line, continued dividends and share repurchases, and closed a deal to obtain a controlling interest in French corporate finance firm Audere Partners after quarter-end.
A shareholder has filed a notice under Rule 144 to sell 5,000 Class A shares with an aggregate market value of 841,475 through Charles Schwab on the NYSE, with an approximate sale date of 01/30/2026. The filing notes that 54,515,003 shares of this class are outstanding. The shares to be sold were acquired between 2021 and 2024 through vested restricted stock units granted by the issuer as equity compensation.
Houlihan Lokey, Inc. reported that director Robert A. Schriesheim has informed the company that he does not intend to stand for reelection to the board when his current term ends at the company’s 2027 Annual Meeting of Shareholders.
Schriesheim has served as a director of Houlihan Lokey since July 2015. The notice provides advance transparency about future board composition but does not indicate any disagreement with the company or its policies.
Houlihan Lokey, Inc. filed a Form 8-K to furnish a press release announcing its financial results for the third fiscal quarter ended December 31, 2025. The press release is attached as Exhibit 99.1 and provides the detailed quarterly results.
The company states that the information in Item 2.02 and Exhibit 99.1 is being furnished, not filed, so it is not subject to certain Exchange Act liabilities and is not automatically incorporated into other securities law filings.