0001397911-18-000069.txt : 20180315 0001397911-18-000069.hdr.sgml : 20180315 20180315215134 ACCESSION NUMBER: 0001397911-18-000069 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180313 FILED AS OF DATE: 20180315 DATE AS OF CHANGE: 20180315 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: 18694069 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_152116508007273.xml FORM 4 X0306 4 2018-03-13 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 2018-03-13 4 M 0 25000 18.04 A 50505 D Common Stock 2018-03-13 4 S 0 20800 65.34 D 29705 D Common Stock 2018-03-13 4 S 0 4200 65.79 D 25505 D Common Stock 2018-03-13 4 F 0 704 64.99 D 24801 D Option to purchase Common Stock 18.04 2018-03-13 4 M 0 25000 0 A 2019-02-12 Common Stock 0.0 0 D The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $64.73 to $65.72, 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. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $65.74 to $65.87, 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 (2) to this Form 4. Consists of (i) 12,245 shares of Common Stock; (ii) 704 restricted stock units that vest in full on June 10, 2018; (iii) 2,653 restricted stock units that vest in full on February 25, 2019; (iv) 3,111 restricted stock units that vest in full on February 25, 2019; (v) 3,034 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (vi) 3,054 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021. This option became exercisable in five installments, beginning February 12, 2010, which was the first anniversary of the date on which it was granted. The option became fully vested on February 12, 2014. 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 2018-03-15