0001397911-19-000176.txt : 20191210 0001397911-19-000176.hdr.sgml : 20191210 20191210174042 ACCESSION NUMBER: 0001397911-19-000176 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191206 FILED AS OF DATE: 20191210 DATE AS OF CHANGE: 20191210 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: 191278544 MAIL ADDRESS: STREET 1: ONE BEACON STREET, 22ND FLOOR CITY: BOSTON STATE: MA ZIP: 02108 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_157601762491972.xml FORM 4 X0306 4 2019-12-06 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 Managing Director Common Stock 2019-12-06 4 M 0 20703 32.26 A 49512 D Common Stock 2019-12-06 4 S 0 20482 92.30 D 29030 D Common Stock 2019-12-06 4 S 0 221 92.70 D 28809 D Option to purchase Common Stock 32.26 2019-12-06 4 M 0 20703 0 D 2022-02-09 Common Stock 20703.0 6198 D The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 6, 2019. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 6, 2019. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $91.695 to $92.69, 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 range set forth in this footnote (3) to this Form 4. Consists of (i) 22,289 shares of Common Stock; (ii) 1,516 restricted stock units that vest in full on March 13, 2020; (iii) 2,036 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021 and (iv) 2,968 restricted stock units that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022. This option became exercisable in five installments, beginning February 9, 2013, which was the first anniversary of the date on which it was granted. The option became fully vested on February 9, 2017. The signatory is signing on behalf of George Burton White pursuant to a Power of Attorney dated August 11, 2015. /s/ Gregory M. Woods, attorney-in-fact 2019-12-10