Filing Details

Accession Number:
0001397911-15-000027
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-02-26 20:05:49
Reporting Period:
2015-02-24
Filing Date:
2015-02-26
Accepted Time:
2015-02-26 20:05:49
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
1487487 H. Dan Arnold C/O Lpl Financial Holdings Inc.
75 State Street
Boston MA 02109
Chief Financial Officer 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 2015-02-24 5,458 $27.80 191,385 No 4 M Direct
Common Stock Disposition 2015-02-24 5,458 $46.00 185,927 No 4 S Direct
Common Stock Disposition 2015-02-24 453 $45.58 185,474 No 4 F Direct
Common Stock Disposition 2015-02-25 1,818 $45.46 183,656 No 4 F Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 F Direct
No 4 F 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 2015-02-24 5,458 $0.00 5,458 $27.80
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
26,000 2018-02-05 No 4 M Direct
Footnotes
  1. The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 13, 2014.
  2. Consists of (i) 172,345 shares of Common Stock; (ii) 2,189 restricted stock units that vest ratably on February 24, 2016 and February 24, 2017; and (iii) 9,122 restricted stock units that vest in full on February 24, 2017.
  3. This option, which represented a right to purchase a total of 50,000 shares, vested on February 5, 2013 and is currently exercisable for 26,000 shares.