0001397911-19-000039.txt : 20190315 0001397911-19-000039.hdr.sgml : 20190315 20190315204020 ACCESSION NUMBER: 0001397911-19-000039 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190313 FILED AS OF DATE: 20190315 DATE AS OF CHANGE: 20190315 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gooley Thomas CENTRAL INDEX KEY: 0001647085 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 19686528 MAIL ADDRESS: STREET 1: C/O LPL FINANCIAL 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_155269680528457.xml FORM 4 X0306 4 2019-03-13 1 0001397911 LPL Financial Holdings Inc. LPLA 0001647085 Gooley Thomas C/O LPL FINANCIAL HOLDINGS INC., 75 STATE STREET, 22ND FLOOR BOSTON MA 02109 0 1 0 0 Managing Director Common Stock 2019-03-13 4 F 0 982 74.22 D 17293 D Common Stock 2019-03-14 4 M 0 14938 19.85 A 32231 D Common Stock 2019-03-14 4 M 0 6926 39.48 A 39157 D Common Stock 2019-03-14 4 M 0 3528 65.50 A 42685 D Common Stock 2019-03-14 4 S 0 25392 74.06 D 17293 D Option to purchase Common Stock 19.85 2019-03-14 4 M 0 14938 0 D 2026-02-25 Common Stock 14938.0 0 D Option to purchase Common Stock 39.48 2019-03-14 4 M 0 6926 0 D 2027-03-13 Common Stock 6926.0 6926 D Option to purchase Common Stock 65.5 2019-03-14 4 M 0 3528 0 D 2028-02-23 Common Stock 3528.0 7054 D The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.83 to $74.24, 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. Consists of (i) 12,058 shares of Common Stock; (ii) 976 restricted stock units that were originally scheduled to vest in full on June 13, 2019; (iii) 1,979 restricted stock units that were originally scheduled to vest in full on March 13, 2020; and (iv) 2,280 restricted stock units that were originally scheduled to vest ratably on each of February 23, 2020 and February 23, 2021. This option became exercisable in three installments, beginning February 25, 2017, which was the first anniversary of the date on which it was granted. The option became fully vested on February 25, 2019. This option, representing a right to purchase a total of 20,778 shares, was originally scheduled to become exercisable in three equal installments, beginning on March 13, 2018, which was the first anniversary of the date on which it was granted. This option, representing a right to purchase a total of 10,582 shares, was originally scheduled to become exercisable in three equal installments, beginning on February 23, 2019, which was the first anniversary of the date on which it was granted. The signatory is signing on behalf of Thomas Gooley pursuant to a Power of Attorney dated June 27, 2015. /s/ Gregory M. Woods, attorney-in-fact 2019-03-15