Filing Details

Accession Number:
0001397911-18-000199
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-11-13 17:16:34
Reporting Period:
2018-11-08
Accepted Time:
2018-11-13 17:16:34
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
1548543 Burton George White C/O Lpl Financial Holdings Inc.
75 State Street, 22Nd Floor
Boston MA 02109
Managing Director 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 2018-11-08 26,108 $22.08 50,582 No 4 M Direct
Common Stock Disposition 2018-11-08 23,893 $66.00 26,689 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 2018-11-08 26,108 $0.00 26,108 $22.08
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
23,892 2019-09-14 No 4 M Direct
Footnotes
  1. The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 23, 2018.
  2. Consists of (i) 14,837 shares of Common Stock; (ii) 2,653 restricted stock units that vest in full on February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; (iv) 3,034 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (v) 3,054 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021.
  3. This option became exercisable in five installments, beginning September 14, 2010, which was the first anniversary of the date on which it was granted. The option became fully vested on September 14, 2014.