0001397911-17-000019.txt : 20170223 0001397911-17-000019.hdr.sgml : 20170223 20170223214618 ACCESSION NUMBER: 0001397911-17-000019 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170222 FILED AS OF DATE: 20170223 DATE AS OF CHANGE: 20170223 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LPL Financial Holdings Inc. CENTRAL INDEX KEY: 0001397911 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200] IRS NUMBER: 203717839 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 75 STATE STREET STREET 2: 22ND FLOOR CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 617 423 3644 MAIL ADDRESS: STREET 1: 75 STATE STREET STREET 2: 22ND FLOOR CITY: BOSTON STATE: MA ZIP: 02109 FORMER COMPANY: FORMER CONFORMED NAME: LPL Investment Holdings Inc. DATE OF NAME CHANGE: 20070427 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Casady Mark S CENTRAL INDEX KEY: 0001405275 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 17634603 MAIL ADDRESS: STREET 1: C/O ONE BEACON STREET STREET 2: 22ND FLOOR CITY: BOSTON STATE: MA ZIP: 02108 4 1 wf-form4_148790436536139.xml FORM 4 X0306 4 2017-02-22 0 0001397911 LPL Financial Holdings Inc. LPLA 0001405275 Casady Mark S C/O LPL FINANCIAL HOLDINGS INC. 75 STATE STREET, 22ND FLOOR BOSTON MA 02109 1 0 0 0 Common Stock 2017-02-22 4 M 0 58628 31.60 A 189585 D Common Stock 2017-02-22 4 S 0 58628 40.4009 D 130957 D Option to purchase Common Stock 31.6 2017-02-22 4 M 0 58628 0 D 2023-02-22 Common Stock 58628.0 0 D The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $40.13 to $40.74, 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 ranges set forth in this footnote (1) to this Form 4. The option became exercisable in four installments, beginning on 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. The signatory is signing on behalf of Mark Casady pursuant to a Power of Attorney dated May 28, 2015. /s/ Gregory M. Woods, attorney-in-fact 2017-02-23