Home > Insider Trading > Filing (0001397911-15-000191)

Filing Details

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
1606128	Jr. P. William Morrissey	C/O Lpl Financial Holdings Inc. 75 State Street, 22Nd Floor Boston MA 02109	Md, Divisional Pres. Of Ias	No	Yes	No	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2015-12-14	25,000	$21.60	31,555	No	4	M	Direct
Common Stock	Disposition	2015-12-14	25,000	$42.85	6,555	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

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Option to purchase Common Stock	Disposition	2015-12-14	25,000	$0.00	25,000	$21.60

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
13,907		2017-06-07	No	4	M	Direct

Footnotes

(i) 2,439 shares of Common Stock; (ii) 1,190 restricted stock units that vest ratably on February 22, 2016 and February 22, 2017; (iii) 924 restricted stock units that vest ratably on February 24, 2016 and February 24, 2017; and (iv) 2,002 restricted stock units that vest ratably on March 6, 2016, March 6, 2017 and March 6, 2018.
Following the exercise reported on this Form 4, this option is currently exercisable as to 13,907 shares. The option became exercisable in five equal installments, beginning on June 7, 2008, which was the first anniversary of the date on which it was granted. The option became fully vested on June 7, 2012.