Home > Insider Trading > Filing (0001397911-21-000020)

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
1585874	Michelle Oroschakoff	C/O Lpl Financial Holdings Inc. 4707 Executive Drive San Diego CA 92121	Managing Director	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	Acquisiton	2021-02-12	3,802	$54.81	23,659	No	4	M	Direct
Common Stock	Acquisiton	2021-02-12	198	$48.09	23,857	No	4	M	Direct
Common Stock	Disposition	2021-02-12	4,000	$128.16	19,857	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	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	2021-02-12	3,802	$0.00	3,802	$54.81
Common Stock	Option to purchase Common Stock	Disposition	2021-02-12	198	$0.00	198	$48.09

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		2024-02-24	No	4	M	Direct
12,715		2024-09-03	No	4	M	Direct

Footnotes

The stock options exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 11, 2020.
The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 11, 2020.
Consists of (i) 14,076.15 shares of Common Stock; (ii) 1,018 restricted stock units that vest in full on February 23, 2021; (iii) 1,706 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iv) 3,057 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023.
This option became exercisable in three installments, beginning February 24, 2015, which was the first anniversary of the date on which it was granted. The option became fully vested on February 24, 2017.
This option became exercisable in four installments, beginning September 3, 2015, which was the first anniversary of the date on which it was granted. The option became fully vested on September 3, 2018.