0001397911-18-000221.txt : 20181214 0001397911-18-000221.hdr.sgml : 20181214 20181214200737 ACCESSION NUMBER: 0001397911-18-000221 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181212 FILED AS OF DATE: 20181214 DATE AS OF CHANGE: 20181214 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: 181236813 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_154483603845673.xml FORM 4 X0306 4 2018-12-12 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 2018-12-12 4 M 0 4500 18.04 A 87442 D Common Stock 2018-12-12 4 M 0 4500 19.74 A 91942 D Common Stock 2018-12-12 4 M 0 4500 23.02 A 96442 D Common Stock 2018-12-12 4 S 0 4517 60.69 D 91925 D Common Stock 35971 I By Stone Barn LLC Option to purchase Common Stock 18.04 2018-12-12 4 M 0 4500 0 D 2019-02-12 Common Stock 4500.0 0 D Option to purchase Common Stock 19.74 2018-12-12 4 M 0 4500 0 D 2019-06-02 Common Stock 4500.0 0 D Option to purchase Common Stock 23.02 2018-12-12 4 M 0 4500 0 D 2019-11-16 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 $60.62 to $60.75, 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 February 12, 2010, which was the first anniversary of the date on which it was granted. The option became fully vested on February 12, 2012. This option became exercisable in three equal installments, beginning on June 2, 2010, which was the first anniversary of the date on which it was granted. The option became fully vested on June 2, 2012. This option became exercisable in three equal installments, beginning on November 16, 2010, which was the first anniversary of the date on which it was granted. The option became fully vested on November 16, 2012. The signatory is signing on behalf of James S. Riepe pursuant to a Power of Attorney dated March 10, 2014. /s/ Gregory M. Woods, attorney-in-fact 2018-12-14