4//SEC Filing
Gooley Thomas 4
Accession 0001397911-19-000010
CIK 0001397911other
Filed
Feb 5, 7:00 PM ET
Accepted
Feb 6, 5:53 PM ET
Size
18.9 KB
Accession
0001397911-19-000010
Insider Transaction Report
Form 4
Gooley Thomas
MD, Svc, Trading & Operations
Transactions
- Sale
Common Stock
2019-02-04$75.06/sh−3,100$232,686→ 21,292 total - Sale
Common Stock
2019-02-04$74.81/sh−40,340$3,017,835→ 24,392 total - Exercise/Conversion
Common Stock
2019-02-04$43.74/sh+20,576$899,994→ 41,868 total - Exercise/Conversion
Common Stock
2019-02-04$24.38/sh+15,938$388,568→ 57,806 total - Exercise/Conversion
Common Stock
2019-02-04$39.48/sh+6,926$273,438→ 64,732 total - Exercise/Conversion
Option to purchase Common Stock
2019-02-04−20,576→ 0 totalExercise: $43.74Exp: 2025-08-06→ Common Stock (20,576 underlying) - Exercise/Conversion
Option to purchase Common Stock
2019-02-04−15,938→ 7,969 totalExercise: $24.38Exp: 2026-06-13→ Common Stock (15,938 underlying) - Exercise/Conversion
Option to purchase Common Stock
2019-02-04−6,926→ 13,852 totalExercise: $39.48Exp: 2027-03-13→ Common Stock (6,926 underlying)
Footnotes (6)
- [F1]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $74.05 to $75.03 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]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.055 to $75.09 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 (2) to this Form 4.
- [F3]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.
- [F4]This option became exercisable in three installments, beginning August 6, 2016, which was the first anniversary of the date on which it was granted. The option became fully vested on August 6, 2018.
- [F5]This option, representing a right to purchase a total of 23,907 shares, becomes exercisable in three equal installments, beginning on June 13, 2017, which was the first anniversary of the date on which it was granted. The option shall become vested with regard to the remaining 7,969 underlying shares on June 13, 2019.
- [F6]This option, representing a right to purchase a total of 20,778 shares, becomes exercisable in three equal installments, beginning on March 13, 2018, which was the first anniversary of the date on which it was granted. The option shall become vested with regard to the remaining 13,852 underlying shares on March 13, 2020.
Documents
Issuer
LPL Financial Holdings Inc.
CIK 0001397911
Entity typeother
Related Parties
1- filerCIK 0001647085
Filing Metadata
- Form type
- 4
- Filed
- Feb 5, 7:00 PM ET
- Accepted
- Feb 6, 5:53 PM ET
- Size
- 18.9 KB