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