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Filing Details

Accession Number:: 0001397911-19-000039
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2019-03-15 20:40:20
Reporting Period:: 2019-03-13

Accepted Time:: 2019-03-15 20:40:20
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
1647085	Thomas Gooley	C/O Lpl Financial Holdings Inc., 75 State Street, 22Nd Floor Boston MA 02109	Managing Director	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Disposition	2019-03-13	982	$74.22	17,293	No	4	F	Direct
Common Stock	Acquisiton	2019-03-14	14,938	$19.85	32,231	No	4	M	Direct
Common Stock	Acquisiton	2019-03-14	6,926	$39.48	39,157	No	4	M	Direct
Common Stock	Acquisiton	2019-03-14	3,528	$65.50	42,685	No	4	M	Direct
Common Stock	Disposition	2019-03-14	25,392	$74.06	17,293	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	F	Direct
No	4	M	Direct
No	4	M	Direct
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	2019-03-14	14,938	$0.00	14,938	$19.85
Common Stock	Option to purchase Common Stock	Disposition	2019-03-14	6,926	$0.00	6,926	$39.48
Common Stock	Option to purchase Common Stock	Disposition	2019-03-14	3,528	$0.00	3,528	$65.50

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	2026-02-25	No	4	M	Direct
6,926	2027-03-13	No	4	M	Direct
7,054	2028-02-23	No	4	M	Direct

Footnotes

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.83 to $74.24, 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.
Consists of (i) 12,058 shares of Common Stock; (ii) 976 restricted stock units that were originally scheduled to vest in full on June 13, 2019; (iii) 1,979 restricted stock units that were originally scheduled to vest in full on March 13, 2020; and (iv) 2,280 restricted stock units that were originally scheduled to vest ratably on each of February 23, 2020 and February 23, 2021.
This option became exercisable in three installments, beginning February 25, 2017, which was the first anniversary of the date on which it was granted. The option became fully vested on February 25, 2019.
This option, representing a right to purchase a total of 20,778 shares, was originally scheduled to become exercisable in three equal installments, beginning on March 13, 2018, which was the first anniversary of the date on which it was granted.
This option, representing a right to purchase a total of 10,582 shares, was originally scheduled to become exercisable in three equal installments, beginning on February 23, 2019, which was the first anniversary of the date on which it was granted.