4//SEC Filing
Gooley Thomas 4
Accession 0001397911-18-000219
CIK 0001397911other
Filed
Dec 13, 7:00 PM ET
Accepted
Dec 14, 8:00 PM ET
Size
9.6 KB
Accession
0001397911-18-000219
Insider Transaction Report
Form 4
Gooley Thomas
MD, Svc, Trading & Operations
Transactions
- Exercise/Conversion
Common Stock
2018-12-12$19.85/sh+29,876$593,039→ 51,168 total - Sale
Common Stock
2018-12-12$60.72/sh−29,876$1,814,071→ 21,292 total - Exercise/Conversion
Option to purchase Common Stock
2018-12-12−29,876→ 14,938 totalExercise: $19.85Exp: 2026-02-25→ Common Stock (29,876 underlying)
Footnotes (3)
- [F1]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.62 to $61.25 per share, 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.
- [F2]Consists of (i) 7,997 shares of Common Stock; (ii) 1,830 restricted stock units that vest in full on February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; (iv) 976 restricted stock units that vest in full on June 13, 2019; (v) 3,958 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (vi) 3,420 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021.
- [F3]This option, representing a right to purchase a total of 44,814 shares, becomes exercisable in three equal installments, beginning on February 25, 2017, which was the first anniversary of the date on which it was granted. The option shall become vested with regard to the remaining 14,938 underlying shares on February 25, 2019.
Documents
Issuer
LPL Financial Holdings Inc.
CIK 0001397911
Entity typeother
Related Parties
1- filerCIK 0001647085
Filing Metadata
- Form type
- 4
- Filed
- Dec 13, 7:00 PM ET
- Accepted
- Dec 14, 8:00 PM ET
- Size
- 9.6 KB