Filing Details

Accession Number:
0001397911-21-000144
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-07-21 18:29:16
Reporting Period:
2021-07-20
Accepted Time:
2021-07-21 18:29:16
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
1798805 Matthew Enyedi 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 Acquisiton 2021-07-20 2,312 $54.81 7,084 No 4 M Direct
Common Stock Acquisiton 2021-07-20 5,400 $39.48 12,484 No 4 M Direct
Common Stock Disposition 2021-07-20 7,712 $130.00 4,772 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
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 2021-07-20 2,312 $0.00 2,312 $54.81
Common Stock Option to purchase Common Stock Disposition 2021-07-20 5,400 $0.00 5,400 $39.48
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2024-02-24 No 4 M Direct
5,154 2027-03-13 No 4 M Direct
Footnotes
  1. The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 19, 2021.
  2. The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 19, 2021
  3. Consists of (i) 984 shares of Common Stock; (ii) 417 restricted stock units that vest in full on February 25, 2022; (iii) 1,406 restricted stock units that vest ratably on each of February 25, 2022 and February 25, 2023; and (iv) 1,965 restricted stock units that vest ratably on each of February 25, 2022, February 25, 2023 and February 25, 2024.
  4. This option became exercisable in three installments, beginning February 24, 2015, which was the first anniversary of the date on which it was granted. The option became fully vested on February 24, 2017.
  5. This option became exercisable in three installments, beginning March 13, 2018, which was the first anniversary of the date on which it was granted. The option became fully vested on March 13, 2020.