Home > Insider Trading > Filing (0001397911-17-000019)

Filing Details

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	2017-02-22	58,628	$31.60	189,585	No	4	M	Direct
Common Stock	Disposition	2017-02-22	58,628	$40.40	130,957	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
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	2017-02-22	58,628	$0.00	58,628	$31.60

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		2023-02-22	No	4	M	Direct

Footnotes

The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $40.13 to $40.74, 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.
The option became exercisable in four installments, beginning on February 22, 2014, which was the first anniversary of the date on which it was granted. The option became fully vested on February 22, 2017.