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Home > Insider Trading > Filing (0001397911-17-000047)

Filing Details

Accession Number:: 0001397911-17-000047
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-03-06 17:15:18
Reporting Period:: 2017-03-02

Filing Date:: 2017-03-06
Accepted Time:: 2017-03-06 17:15:18
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

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2017-03-02	2,000	$19.85	132,957	No	4	M	Direct
Common Stock	Disposition	2017-03-02	2,000	$40.75	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

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Option to purchase Common Stock	Disposition	2017-03-02	2,000	$0.00	2,000	$19.85

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
401,329			No	4	M	Direct

Footnotes

This option became exercisable for 134,443 shares on February 25, 2017, which was the first anniversary of the grant date. This option became exercisable by its terms for the remaining 268,886 shares on March 3, 2017 upon the reporting person's retirement and will remain exercisable for a period of up to two years thereafter.