Filing Details
- Accession Number:
- 0001397911-17-000009
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-02-15 21:42:02
- Reporting Period:
- 2017-02-13
- Filing Date:
- 2017-02-15
- Accepted Time:
- 2017-02-15 21:42:02
- 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 |
|---|---|---|---|---|---|---|---|
| 1405275 | S Mark Casady | C/O Lpl Financial Holdings Inc. 75 State Street, 22Nd Floor Boston MA 02109 | Yes | No | 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 | 2017-02-13 | 62,640 | $22.08 | 193,597 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-02-13 | 62,640 | $40.84 | 130,957 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-02-14 | 57,360 | $22.08 | 188,317 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2017-02-14 | 147,111 | $34.61 | 335,428 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-02-14 | 204,471 | $40.65 | 130,957 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-02-15 | 2,889 | $34.61 | 133,846 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2017-02-15 | 186,439 | $32.26 | 320,285 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2017-02-15 | 175,885 | $31.60 | 496,170 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-02-15 | 365,213 | $40.76 | 130,957 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| 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 | 2017-02-13 | 62,640 | $0.00 | 62,640 | $22.08 |
| Common Stock | Option to purchase Common Stock | Disposition | 2017-02-14 | 57,360 | $0.00 | 57,360 | $22.08 |
| Common Stock | Option to purchase Common Stock | Disposition | 2017-02-14 | 147,111 | $0.00 | 147,111 | $34.61 |
| Common Stock | Option to purchase Common Stock | Disposition | 2017-02-15 | 2,889 | $0.00 | 2,889 | $34.61 |
| Common Stock | Option to purchase Common Stock | Disposition | 2017-02-15 | 186,439 | $0.00 | 186,439 | $32.26 |
| Common Stock | Option to purchase Common Stock | Disposition | 2017-02-15 | 175,885 | $0.00 | 175,885 | $31.60 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 57,360 | 2019-09-14 | No | 4 | M | Direct | |
| 0 | 2019-09-14 | No | 4 | M | Direct | |
| 2,889 | 2020-12-22 | No | 4 | M | Direct | |
| 0 | 2020-12-22 | No | 4 | M | Direct | |
| 0 | 2022-02-09 | No | 4 | M | Direct | |
| 58,628 | 2023-02-22 | No | 4 | M | Direct |
Footnotes
- Includes 67,086 shares previously reported by the Reporting Person as indirectly held by the Mark S. Casady 2014 Grantor Retained Annuity Trust.
- The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $40.62 to $41.17, 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.
- The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $40.22 to $40.89, 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 (3) to this Form 4.
- The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $40.34 to $41.01, 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 (4) to this Form 4.
- This option became exercisable in five installments, beginning on September 14, 2010, which was the first anniversary of the date on which it was granted. The option became fully vested on September 14, 2014.
- The option became exercisable in five installments, beginning on December 22, 2011, which was the first anniversary of the date on which it was granted. The option became fully vested on December 22, 2015.
- This option became exercisable in five installments, beginning on February 9, 2013, which was the first anniversary of the date on which it was granted. The option became fully vested on February 9, 2017.
- The option became exercisable in five installments, beginning on February 22, 2014, which was the first anniversary of the date on which it was granted. The remaining 58,628 options will become fully vested on February 22, 2017.
Billionaire Hedge Funds
