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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, DC 20549

 

 

FORM 8-K

 

 

CURRENT REPORT

Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): September 24, 2020

 

 

Houlihan Lokey, Inc.

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   001-37537   95-2770395

(State or other jurisdiction

of incorporation)

 

(Commission

File Number)

 

(IRS Employer

Identification No.)

 

10250 Constellation Blvd.,

5th Floor, Los Angeles, CA

  90067
(Address of principal executive offices)   (Zip Code)

Registrant’s telephone number, including area code: 310-788-5200

Not Applicable

(Former Name or Former Address, if Changed Since Last Report)

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

 

Title of Each Class

 

Trading

Symbol(s)

 

Name of each exchange

on which registered

Class A Common Stock, par value $0.001   HLI   New York Stock Exchange

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).

Emerging growth company  

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.  ☐

 

 

 


Item 5.07.

Submission of Matters to a Vote of Security Holders.

On September 24, 2020, Houlihan Lokey, Inc. (the “Company”) held its annual meeting of stockholders (the “Annual Meeting”). At the Annual Meeting, stockholders voted on proposals (1) to elect two Class II directors to the Company’s board of directors, each to serve until the Company’s 2023 annual meeting of stockholders, and until a successor has been duly elected and qualified; (2) to approve, on an advisory basis, the compensation of the Company’s named executive officers as disclosed in the Company’s 2020 Proxy Statement; and (3) to ratify the appointment of KPMG, LLP as the Company’s independent registered public accounting firm for the fiscal year ending March 31, 2021. Following is the final tabulation of votes cast at the meeting:

Proposal 1: Election of Class II Directors

 

Nominee

   Votes For      Votes Withheld      Broker Non-Votes  

Irwin N. Gold

     199,643,884        34,989,473        1,284,043  

Gillian B. Zucker

     226,112,659        8,520,698        1,284,043  

Proposal 2: Approval of Non-Binding, Advisory Vote on Executive Compensation

 

Votes For

 

Votes Against

 

Abstentions

 

Broker Non-Votes

221,219,999

  13,387,203   26,155   1,284,043

Proposal 3: Ratification of Independent Registered Public Accounting Firm

 

Votes For

 

Votes Against

 

Abstentions

 

Broker Non-Votes

234,606,659

  1,284,959   25,782   0


SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

Date: September 25, 2020

 

HOULIHAN LOKEY, INC.
By:  

/s/ Christopher M. Crain

Name:   Christopher M. Crain
Title:   General Counsel and Secretary