SEC Form 4 · accession 0001397911-18-000002
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James S Riepe
Director
Period of report
Jan 8, 2018
Accepted (ET)
Jan 9, 2018 · 5:17 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001397911
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 8, 2018 | M | 4,500 | $27.80 | A | 71,221 | D | |
| Common Stock | holding | — | — | — | 35,971 | I | By Stone Barn LLC |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to purchase Common StockF1 | $27.80 | Jan 8, 2018 | M | 4,500 | D | — | Feb 12, 2018 | Common Stock | 4,500 | 0 | D |
Explanation of responses
- F1This option became exercisable in three equal installments, beginning on February 12, 2009, which was the first anniversary of the date on which it was granted. The option became fully vested on February 12, 2011.
Remarks
The signatory is signing on behalf of James S. Riepe pursuant to a Power of Attorney dated March 10, 2014, which was previously filed with the Commission.