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Home > Insider Trading > Filing (0001397911-14-000026)

Filing Details

Accession Number:: 0001397911-14-000026
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-02-19 18:57:08
Reporting Period:: 2014-02-14

Filing Date:: 2014-02-19
Accepted Time:: 2014-02-19 18:57:08
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1397911	Lpl Financial Holdings Inc.	LPLA	Security & Commodity Brokers, Dealers, Exchanges & Services (6200)	203717839

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1548542	Derek Bruton	C/O Lpl Financial Holdings Inc. 75 State Street, 24Th Floor Boston MA 02109	Md, Independent Advisor Svcs	No	Yes	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2014-02-14	16,000	$22.08	23,869	No	4	M	Direct
Common Stock	Disposition	2014-02-14	16,000	$53.21	7,869	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Option to purchase common stock	Disposition	2014-02-14	16,000	$0.00	16,000	$22.08

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
24,000		2019-09-14	No	4	M	Direct

Footnotes

Consists of (i) 4,645 restricted stock units that vest ratably over four years beginning on February 22, 2014 and (ii) 3,224 restricted stock units that vest in full on February 25, 2015.
This option is currently exercisable as to 16,000 shares. The remaining 8,000 shares shall become exercisable on September 14, 2014.