Home > Insider Trading > Filing (0001397911-19-000174)

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
1665253	Tracy Calder	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
Common Stock	Disposition	2019-11-22	1,514	$0.00	8,089	No	5	G	Direct
Common Stock	Acquisiton	2019-11-25	13,181	$19.85	21,270	No	4	M	Direct
Common Stock	Disposition	2019-11-25	13,181	$91.60	8,089	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	5	G	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	2019-11-25	13,181	$0.00	13,181	$19.85

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
5,939		2026-02-25	No	4	M	Direct

Footnotes

This transaction was a charitable gift of securities by the reporting person. The gifted shares include 13.858 shares acquired under the Issuer's Dividend Reinvestment Plan.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $91.51 to $91.85, 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 range set forth in this footnote (2) to this Form 4.
Consists of (i) 4,677 shares of Common Stock; (ii) 804 restricted stock units that vest in full on March 13, 2020; (iii) 1,042 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (iv) 1,566 restricted stock units that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022.
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.