Filing Details
- Accession Number:
- 0001397911-18-000221
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-12-14 20:07:37
- Reporting Period:
- 2018-12-12
- Accepted Time:
- 2018-12-14 20:07:37
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1397911 | Lpl Financial Holdings Inc. | LPLA | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1203072 | S James Riepe | C/O Lpl Financial Holdings Inc. 75 State Street, 22Nd Floor Boston MA 02109 | Yes | No | 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 | 2018-12-12 | 4,500 | $18.04 | 87,442 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-12-12 | 4,500 | $19.74 | 91,942 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-12-12 | 4,500 | $23.02 | 96,442 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-12-12 | 4,517 | $60.69 | 91,925 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| 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 | 2018-12-12 | 4,500 | $0.00 | 4,500 | $18.04 |
| Common Stock | Option to purchase Common Stock | Disposition | 2018-12-12 | 4,500 | $0.00 | 4,500 | $19.74 |
| Common Stock | Option to purchase Common Stock | Disposition | 2018-12-12 | 4,500 | $0.00 | 4,500 | $23.02 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2019-02-12 | No | 4 | M | Direct | |
| 0 | 2019-06-02 | No | 4 | M | Direct | |
| 0 | 2019-11-16 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 35,971 | Indirect | By Stone Barn LLC |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.62 to $60.75, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (1) to this Form 4.
- This option became exercisable in three equal installments, beginning on February 12, 2010, which was the first anniversary of the date on which it was granted. The option became fully vested on February 12, 2012.
- This option became exercisable in three equal installments, beginning on June 2, 2010, which was the first anniversary of the date on which it was granted. The option became fully vested on June 2, 2012.
- This option became exercisable in three equal installments, beginning on November 16, 2010, which was the first anniversary of the date on which it was granted. The option became fully vested on November 16, 2012.
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