0001397911-18-000007.txt : 20180207 0001397911-18-000007.hdr.sgml : 20180207 20180207175016 ACCESSION NUMBER: 0001397911-18-000007 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180205 FILED AS OF DATE: 20180207 DATE AS OF CHANGE: 20180207 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kalbaugh John Andrew CENTRAL INDEX KEY: 0001548546 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 18582159 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_151804380246367.xml FORM 4 X0306 4 2018-02-05 0 0001397911 LPL Financial Holdings Inc. LPLA 0001548546 Kalbaugh John Andrew C/O LPL FINANCIAL HOLDINGS INC. 75 STATE STREET, 22ND FLOOR BOSTON MA 02109 0 1 0 0 Managing Director Common Stock 2018-02-05 4 M 0 10000 27.17 A 38050 D Common Stock 2018-02-05 4 S 0 400 61.16 D 37650 D Common Stock 2018-02-05 4 S 0 7100 62.49 D 30550 D Common Stock 2018-02-05 4 S 0 2500 63.17 D 28050 D Option to purchase Common Stock 27.17 2018-02-05 4 M 0 10000 0 D 2018-06-10 Common Stock 10000.0 0 D The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 28, 2017. The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $60.57 to $61.36, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc. ("Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission ("SEC"), 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. The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $62.04 to $63.03, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (3) to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $63.04 to $63.38, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (4) to this Form 4. Consists of (i) 9,570 shares of Common Stock; (ii) 856 restricted stock units that vest in full on March 6, 2018; (iii) 1,541 restricted stock units that vest in full on March 6, 2018; (iv) 5,526 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (v) 3,111 restricted stock units that vest in full on February 25, 2019; (vi) 3,253 restricted stock units that vest ratably on each of June 13, 2018 and June 13, 2019; and (vii) 4,193 restricted stock units that vest ratably on each of March 13, 2018, March 13, 2019 and March 13, 2020. This option became exercisable in five installments, beginning on June 10, 2009, which was the first anniversary of the date on which it was granted. The option became fully vested on June 10, 2013. The signatory is signing on behalf of John Andrew Kalbaugh pursuant to a Power of Attorney dated August 3, 2015, which was previously filed with the SEC. /s/ Gregory M. Woods, as attorney-in-fact 2018-02-07