Home > Insider Trading > Filing (0001397911-20-000044)

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
1435098	J Matthew Audette	C/O Lpl Financial Holdings Inc. 4707 Executive Drive San Diego CA 92121	Chief Financial Officer	No	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
Common Stock	Disposition	2020-02-25	1,095	$87.78	16,732	No	4	S	Direct
Common Stock	Disposition	2020-02-25	496	$84.48	16,236	No	4	F	Direct
Common Stock	Acquisiton	2020-02-25	4,701	$0.00	20,937	No	4	A	Direct
Common Stock	Disposition	2020-02-26	937	$84.86	20,000	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	S	Direct
No	4	F	Direct
No	4	A	Direct
No	4	S	Direct

Footnotes

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.
These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2021, February 25, 2022, and February 25, 2023. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.
Consists of (i) 8,086 shares of Common Stock; (ii) 2,638 restricted stock units that vest in full on March 13, 2020; (iii) 1,709 restricted stock units that vest in full on February 23, 2021; (iv) 2,866 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (v) the restricted stock units reported on this Form 4.