4//SEC Filing
Gooley Thomas 4
Accession 0001397911-19-000039
CIK 0001397911other
Filed
Mar 14, 8:00 PM ET
Accepted
Mar 15, 8:40 PM ET
Size
18.1 KB
Accession
0001397911-19-000039
Insider Transaction Report
Form 4
Gooley Thomas
MD, Svc, Trading & Operations
Transactions
- Tax Payment
Common Stock
2019-03-13$74.22/sh−982$72,884→ 17,293 total - Exercise/Conversion
Common Stock
2019-03-14$19.85/sh+14,938$296,519→ 32,231 total - Exercise/Conversion
Common Stock
2019-03-14$39.48/sh+6,926$273,438→ 39,157 total - Exercise/Conversion
Common Stock
2019-03-14$65.50/sh+3,528$231,084→ 42,685 total - Sale
Common Stock
2019-03-14$74.06/sh−25,392$1,880,532→ 17,293 total - Exercise/Conversion
Option to purchase Common Stock
2019-03-14−14,938→ 0 totalExercise: $19.85Exp: 2026-02-25→ Common Stock (14,938 underlying) - Exercise/Conversion
Option to purchase Common Stock
2019-03-14−6,926→ 6,926 totalExercise: $39.48Exp: 2027-03-13→ Common Stock (6,926 underlying) - Exercise/Conversion
Option to purchase Common Stock
2019-03-14−3,528→ 7,054 totalExercise: $65.50Exp: 2028-02-23→ Common Stock (3,528 underlying)
Footnotes (5)
- [F1]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.
- [F2]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.
- [F3]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.
- [F4]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.
- [F5]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.
Documents
Issuer
LPL Financial Holdings Inc.
CIK 0001397911
Entity typeother
Related Parties
1- filerCIK 0001647085
Filing Metadata
- Form type
- 4
- Filed
- Mar 14, 8:00 PM ET
- Accepted
- Mar 15, 8:40 PM ET
- Size
- 18.1 KB