0001397911-19-000010.txt : 20190206 0001397911-19-000010.hdr.sgml : 20190206 20190206175324 ACCESSION NUMBER: 0001397911-19-000010 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190204 FILED AS OF DATE: 20190206 DATE AS OF CHANGE: 20190206 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gooley Thomas CENTRAL INDEX KEY: 0001647085 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 19572905 MAIL ADDRESS: STREET 1: C/O LPL FINANCIAL HOLDINGS, INC. STREET 2: 75 STATE STREET, 24TH FLOOR CITY: BOSTON STATE: MA ZIP: 02109 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 4 1 wf-form4_154949359061645.xml FORM 4 X0306 4 2019-02-04 0 0001397911 LPL Financial Holdings Inc. LPLA 0001647085 Gooley Thomas C/O LPL FINANCIAL HOLDINGS INC., 75 STATE STREET, 22ND FLOOR BOSTON MA 02109 0 1 0 0 Managing Director Common Stock 2019-02-04 4 M 0 20576 43.74 A 41868 D Common Stock 2019-02-04 4 M 0 15938 24.38 A 57806 D Common Stock 2019-02-04 4 M 0 6926 39.48 A 64732 D Common Stock 2019-02-04 4 S 0 40340 74.81 D 24392 D Common Stock 2019-02-04 4 S 0 3100 75.06 D 21292 D Option to purchase Common Stock 43.74 2019-02-04 4 M 0 20576 0 D 2025-08-06 Common Stock 20576.0 0 D Option to purchase Common Stock 24.38 2019-02-04 4 M 0 15938 0 D 2026-06-13 Common Stock 15938.0 7969 D Option to purchase Common Stock 39.48 2019-02-04 4 M 0 6926 0 D 2027-03-13 Common Stock 6926.0 13852 D The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $74.05 to $75.03 per share, 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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.055 to $75.09 per share, 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) 7,997 shares of Common Stock; (ii) 1,830 restricted stock units that vest in full on February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; (iv) 976 restricted stock units that vest in full on June 13, 2019; (v) 3,958 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (vi) 3,420 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021. This option became exercisable in three installments, beginning August 6, 2016, which was the first anniversary of the date on which it was granted. The option became fully vested on August 6, 2018. This option, representing a right to purchase a total of 23,907 shares, becomes exercisable in three equal installments, beginning on June 13, 2017, which was the first anniversary of the date on which it was granted. The option shall become vested with regard to the remaining 7,969 underlying shares on June 13, 2019. This option, representing a right to purchase a total of 20,778 shares, becomes exercisable in three equal installments, beginning on March 13, 2018, which was the first anniversary of the date on which it was granted. The option shall become vested with regard to the remaining 13,852 underlying shares on March 13, 2020. The signatory is signing on behalf of Thomas Gooley pursuant to a Power of Attorney dated June 27, 2015. /s/ Gregory M. Woods, attorney-in-fact 2019-02-06