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