Offerings // HOULIHAN LOKEY, INC.

HLI offering history

Every offering-related filing in HOULIHAN LOKEY, INC.’s recent SEC record — registrations (announced capacity) kept separate from pricing documents (executed sales). Reviewed 840 filings back to Aug 26, 2004.

Last executed offering

Dec 9, 2024

8-K — priced deal (shares or notes)

Last registration (announced)

Aug 10, 2026

S-3ASR — capacity, not a sale

Executed, last 12 months

424B pricings + 8-K 3.02 sales

Registered, last 12 months

S-1/S-3/F-series registrations

Date	Filing		What it means
Aug 10, 2026	S-3ASR →	REGISTERED	Automatic shelf registration — effective immediately (large filers)
Feb 25, 2026	424B7 →	UPDATE	Resale prospectus — existing holders registering to sell
Dec 9, 2024	424B7 →	UPDATE	Resale prospectus — existing holders registering to sell
Dec 9, 2024	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Nov 12, 2024	424B7 →	UPDATE	Resale prospectus — existing holders registering to sell
Aug 9, 2024	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Apr 30, 2024	424B7 →	UPDATE	Resale prospectus — existing holders registering to sell
Dec 20, 2023	424B7 →	UPDATE	Resale prospectus — existing holders registering to sell
Aug 11, 2023	S-3ASR →	REGISTERED	Automatic shelf registration — effective immediately (large filers)
Aug 28, 2020	S-3ASR →	REGISTERED	Automatic shelf registration — effective immediately (large filers)
Aug 28, 2020	424B7 →	UPDATE	Resale prospectus — existing holders registering to sell
Jun 25, 2020	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
May 20, 2020	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
May 18, 2020	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Jul 31, 2019	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Jul 29, 2019	424B7 →	UPDATE	Resale prospectus — existing holders registering to sell
May 29, 2019	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
May 28, 2019	424B7 →	UPDATE	Resale prospectus — existing holders registering to sell
Jun 1, 2018	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
May 30, 2018	424B7 →	UPDATE	Resale prospectus — existing holders registering to sell
Mar 14, 2018	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Mar 12, 2018	424B7 →	UPDATE	Resale prospectus — existing holders registering to sell
Oct 27, 2017	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Oct 26, 2017	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Oct 25, 2017	424B7 →	UPDATE	Resale prospectus — existing holders registering to sell
Oct 20, 2017	S-3ASR →	REGISTERED	Automatic shelf registration — effective immediately (large filers)
Feb 10, 2017	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Feb 6, 2017	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Feb 6, 2017	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Jan 27, 2017	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Nov 17, 2016	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Nov 15, 2016	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Nov 1, 2016	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Aug 14, 2015	424B4 →	EXECUTED	Final prospectus — offering priced (typical for IPOs and marketed share deals)
Aug 12, 2015	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Aug 7, 2015	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Aug 7, 2015	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Aug 3, 2015	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Jul 27, 2015	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Jul 10, 2015	S-1 →	REGISTERED	S-1 registration — capacity to sell shares, not a sale yet

HLI offering-related filings from SEC EDGAR, newest first (capped at 40). Each links to the original document.

Two honest limits. (1) A 424B takedown can price shares or notes— EDGAR’s metadata doesn’t say which, so open the document: large investment-grade filers use these mostly for bond deals (no dilution), small-caps mostly for shares. (2) At-the-market (ATM) programs sell shares gradually and individual sales are not separately filed — the visible footprint is the enabling shelf and its 424B5; actual ATM share counts surface later in the 10-Q/10-K share count. Educational information from public filings, not investment advice.

Is a shelf active now? →Do they need money? →Red flags →Full HLI workspace →

HLI offering FAQ

When did HLI last execute an offering?

Per SEC filings, HOULIHAN LOKEY, INC.'s most recent priced offering document is a 8-K filed 2024-12-09. Note a 424B takedown can price shares or notes (debt) — the linked document says which.

When did HLI last announce or register an offering?

The most recent registration is a S-3ASR filed 2026-08-10. A registration is capacity to sell shares — not a sale.

Does an offering always mean dilution?

Registered direct offerings and shelf takedowns issue new shares and dilute existing holders. Resale registrations (424B3/B7) let existing holders sell and do not create new shares. Secondary sales by insiders also do not dilute. Each row here is labeled with what it is.