Filing Details
- Accession Number:
- 0001397911-15-000189
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-12-16 16:16:40
- Reporting Period:
- 2015-12-14
- Filing Date:
- 2015-12-16
- Accepted Time:
- 2015-12-16 16:16:40
- 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 |
---|---|---|---|---|---|---|---|
1614251 | R. Jeffrey Buchheister | C/O Lpl Financial Holdings Inc., 75 State Street, 22Nd Floor Boston MA 02109 | Evp, Chief Accounting 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 | 2015-12-14 | 10,688 | $42.59 | 5,511 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Direct |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.56 to $42.71, 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 (1) to this Form 4.
- Consists of (i) 3,474 shares of Common Stock; (ii) 369 restricted stock units that vest ratably on February 22, 2016 and February 22, 2017; (iii) 340 restricted stock units that vest ratably on February 24, 2016 and February 24, 2017; and (iv) 1,328 restricted stock units that vest ratably on March 6, 2016, March 6, 2017, and March 6, 2018.