0001397911-18-000041.txt : 20180302
0001397911-18-000041.hdr.sgml : 20180302
20180302174454
ACCESSION NUMBER: 0001397911-18-000041
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180302
FILED AS OF DATE: 20180302
DATE AS OF CHANGE: 20180302
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RIEPE JAMES S
CENTRAL INDEX KEY: 0001203072
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 18663613
MAIL ADDRESS:
STREET 1: GENWORTH FINANCIAL, INC.
STREET 2: 6620 WEST BROAD STREET
CITY: RICHMOND
STATE: VA
ZIP: 23230
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_152003067400698.xml
FORM 4
X0306
4
2018-03-02
0
0001397911
LPL Financial Holdings Inc.
LPLA
0001203072
RIEPE JAMES S
C/O LPL FINANCIAL HOLDINGS INC.
75 STATE STREET, 22ND FLOOR
BOSTON
MA
02109
1
0
0
0
Common Stock
2018-03-02
4
M
0
4500
27.17
A
75721
D
Common Stock
2018-03-02
4
M
0
4500
26.33
A
80221
D
Common Stock
2018-03-02
4
M
0
4500
24.96
A
84721
D
Common Stock
2018-03-02
4
S
0
5632
62.77
D
79089
D
Common Stock
35971
I
By Stone Barn LLC
Option to purchase Common Stock
27.17
2018-03-02
4
M
0
4500
0
D
2018-05-14
Common Stock
4500.0
0
D
Option to purchase Common Stock
26.33
2018-03-02
4
M
0
4500
0
D
2018-09-09
Common Stock
4500.0
0
D
Option to purchase Common Stock
24.96
2018-03-02
4
M
0
4500
0
D
2018-11-19
Common Stock
4500.0
0
D
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $62.60 to $62.90, 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.
This option became exercisable in three equal installments, beginning on May 14, 2009, which was the first anniversary of the date on which it was granted. The option became fully vested on May 14, 2011.
This option became exercisable in three equal installments, beginning on September 9, 2009, which was the first anniversary of the date on which it was granted. The option became fully vested on September 9, 2011.
This option became exercisable in three equal installments, beginning on November 19, 2009, which was the first anniversary of the date on which it was granted. The option became fully vested on November 19, 2011.
The signatory is signing on behalf of James S. Riepe pursuant to a Power of Attorney dated March 10, 2014, which was previously filed with the Commission.
/s/ Gregory M. Woods, attorney-in-fact
2018-03-02