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