Filing Details
- Accession Number:
- 0001397911-19-000143
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-09-12 17:14:42
- Reporting Period:
- 2019-09-10
- Accepted Time:
- 2019-09-12 17:14:42
- 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 |
|---|---|---|---|---|---|---|---|
| 1487487 | H. Dan Arnold | C/O Lpl Financial Holdings Inc. 75 State Street, 22Nd Floor Boston MA 02109 | President & Ceo | Yes | 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 | 2019-09-10 | 1,062 | $0.00 | 227,784 | No | 5 | G | Direct | |
| Common Stock | Acquisiton | 2019-09-10 | 48,159 | $31.60 | 275,943 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-09-10 | 48,159 | $80.00 | 227,784 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | G | 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 | 2019-09-10 | 48,159 | $0.00 | 48,159 | $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
- This transaction was a charitable gift of securities by the reporting person.
- The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2019.
- The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2019.
- Consists of (i) 188,974.94 shares of Common Stock and (ii) 38,809 restricted stock units that vest ratably on each of February 13, 2020, February 13, 2021 and February 13, 2022.
- This option became exercisable in four installments, beginning 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.
Billionaire Hedge Funds
