Filing Details
- Accession Number:
- 0001397911-15-000057
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-03-04 16:23:24
- Reporting Period:
- 2015-03-02
- Filing Date:
- 2015-03-04
- Accepted Time:
- 2015-03-04 16:23:24
- 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 | Disposition | 2015-03-02 | 3,661 | $45.14 | 179,995 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | 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.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $44.77 to $45.40, 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 ranges set forth in this footnote (2) to this Form 4.
- Consists of (i) 168,684 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.