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
- 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.
- 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.
- 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.