0001397911-18-000009.txt : 20180207
0001397911-18-000009.hdr.sgml : 20180207
20180207175913
ACCESSION NUMBER: 0001397911-18-000009
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: Morrissey William P. Jr.
CENTRAL INDEX KEY: 0001606128
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 18582178
MAIL ADDRESS:
STREET 1: C/O LPL 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_151804433896633.xml
FORM 4
X0306
4
2018-02-05
0
0001397911
LPL Financial Holdings Inc.
LPLA
0001606128
Morrissey William P. Jr.
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
20000
27.80
A
37541
D
Common Stock
2018-02-05
4
S
0
600
60.57
D
36941
D
Common Stock
2018-02-05
4
S
0
7697
62.38
D
29244
D
Common Stock
2018-02-05
4
S
0
11703
63.09
D
17541
D
Option to purchase Common Stock
27.8
2018-02-05
4
M
0
20000
0
D
2018-02-05
Common Stock
20000.0
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 December 6, 2017.
The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $61.71 to $62.67, 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 $62.79 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 (3) to this Form 4.
Consists of (i) 5,831 shares of Common Stock; (ii) 666 restricted stock units that vest in full on March 6, 2018; (iii) 4,465 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (iv) 3,111 restricted stock units that vest in full on February 25, 2019; and (v) 3,468 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 equal installments, beginning on February 5, 2009, which was the first anniversary of the date on which it was granted. The option became fully vested on February 5, 2013.
The signatory is signing on behalf of William P. Morrissey, Jr. pursuant to a Power of Attorney dated August 14, 2015, which was previously filed with the SEC.
/s/ Gregory M. Woods, attorney-in-fact
2018-02-07