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Filing Details

Accession Number:: 0001397911-19-000121
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2019-08-07 16:39:45
Reporting Period:: 2019-08-05

Accepted Time:: 2019-08-07 16:39:45
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
1435098	J Matthew Audette	C/O Lpl Financial Holdings Inc. 75 State Street, 22Nd Floor Boston MA 02109	Chief Financial Officer	No	Yes	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
Common Stock	Disposition	2019-05-17	2,000	$0.00	30,943	No	5	G	Direct
Common Stock	Disposition	2019-08-05	8,813	$76.49	22,130	No	4	S	Direct
Common Stock	Disposition	2019-08-05	3,687	$77.11	18,443	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	5	G	Direct
No	4	S	Direct
No	4	S	Direct

Footnotes

This transaction was a charitable gift of securities by the reporting person.
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 3, 2019.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.97 to $76.94, 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 range 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 in multiple transactions at prices ranging from $76.98 to $77.49, 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 range set forth in this footnote (4) to this Form 4.
Consists of (i) 8,086 shares of Common Stock; (ii) 2,638 restricted stock units that vest in full on March 13, 2020; (iii) 3,420 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (iv) 4,299 restricted stock units that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022.