Filing Details

Accession Number:
0001397911-21-000059
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-03-01 19:54:45
Reporting Period:
2021-02-25
Accepted Time:
2021-03-01 19:54:45
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
1585874 Michelle Oroschakoff C/O Lpl Financial Holdings Inc.
4707 Executive Drive
San Diego CA 92121
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 Disposition 2021-02-25 929 $132.10 22,796 No 4 F Direct
Common Stock Acquisiton 2021-02-25 2,539 $0.00 25,335 No 4 A Direct
Common Stock Disposition 2021-02-26 943 $130.23 24,392 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 F Direct
No 4 A Direct
No 4 S Direct
Footnotes
  1. These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2022, February 25, 2023, and February 25, 2024. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.
  2. The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 11, 2020.
  3. Consists of (i) 18,962.15 shares of Common Stock; (ii) 853 restricted stock units that vest in full on February 25, 2022; (iii) 2,038 restricted stock units that vest ratably on each of February 25, 2022 and February 25, 2023; and (iv) the restricted stock units reported on this Form 4.