- Accession Number:
- Form Type:
- Zero Holdings:
- Publication Time:
- 2021-06-16 17:22:12
- Reporting Period:
- Accepted Time:
- 2021-06-16 17:22:12
- SEC Url:
- Form 4 Filing
|Cik||Name||Symbol||Sector (SIC)||IRS No|
|1397911||Lpl Financial Holdings Inc.||LPLA||Security & Commodity Brokers, Dealers, Exchanges & Services (6200)||203717839|
|Cik||Name||Reported Address||Insider Title||Director||Officer||Large Shareholder||Other|
|1712038||Scott Seese||C/o Lpl Financial Holdings Inc. |
4707 Executive Drive
San Diego CA 92121
Reported Non-Derivative Transactions
|Sec. Name||Acquisiton - Disposition||Date||Amount||Price||Remaning Holdings||Equity Swap Involved||Form Type||Code||Nature of Ownership||Explanation|
|Equity Swap Involved||Form Type||Code||Nature of Ownership||Explanation|
Reported Derivative Transactions
|Sec. Name||Sec. Type||Acquisiton - Disposition||Date||Amount||Price||Amount - 2||Price - 2|
|Common Stock||Option to purchase Common Stock||Disposition||2021-06-14||12,521||$0.00||12,521||$65.50|
|Remaning Holdings||Exercise Date||Expiration Date||Equity Swap Involved||Transaction Form Type||Transaction Code||Nature of Ownership|
- This transaction was a charitable gift of securities by the reporting person.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $139.00 to $139.69, 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) 16,957 shares of Common Stock; (ii) 1,364 restricted stock units that vest in full on February 25, 2022; (iii) 2,910 restricted stock units that vest ratably on each of February 25, 2022 and February 25, 2023; and (iv) 2,948 restricted stock units that vest ratably on each of February 25, 2022, February 25, 2023 and February 25, 2024.
- This option became exercisable in three installments, beginning February 23, 2019, which was the first anniversary of the date on which it was granted. The option became fully vested on February 23, 2021.