0001397911-17-000023.txt : 20170223
0001397911-17-000023.hdr.sgml : 20170223
20170223215451
ACCESSION NUMBER: 0001397911-17-000023
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: White George Burton
CENTRAL INDEX KEY: 0001548543
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 17634620
MAIL ADDRESS:
STREET 1: ONE BEACON STREET, 22ND FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02108
4
1
wf-form4_148790487846609.xml
FORM 4
X0306
4
2017-02-22
0
0001397911
LPL Financial Holdings Inc.
LPLA
0001548543
White George Burton
C/O LPL FINANCIAL HOLDINGS INC.
75 STATE STREET, 22ND FLOOR
BOSTON
MA
02109
0
1
0
0
MD, Investor & Invstmt Solutns
Common Stock
2017-02-22
4
M
0
25000
27.40
A
46445
D
Common Stock
2017-02-22
4
S
0
25000
40.1388
D
21445
D
Common Stock
2017-02-22
4
F
0
351
40.16
D
21094
D
Option to purchase Common Stock
27.4
2017-02-22
4
M
0
25000
0
D
2017-12-07
Common Stock
25000.0
0
D
The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $40.09 to $40.19, 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 (2) to this Form 4.
Consists of (i) 5,086 shares of Common Stock; (ii) 867 restricted stock units that vest on February 24,2017; (iii) 2,660 restricted stock units that vest ratably on March 6, 2017, and March 6, 2018; (iv) 1,409 restricted stock units that will vest ratably on June 10, 2017 and June 10, 2018; (v) 7,961 restricted stock units that vest ratably on February 25, 2017, February 25, 2018, and February 25, 2019; and (vi) 3,111 restricted stock units that fully vest on February 25, 2019.
This option became exercisable in five installments, beginning on December 7, 2008, which was the first anniversary of the date on which it was granted. The option became fully vested on December 7, 2012.
/s/ George Burton White
2017-02-23