4//SEC Filing
Oroschakoff Michelle 4
Accession 0001397911-22-000130
CIK 0001397911other
Filed
Aug 18, 8:00 PM ET
Accepted
Aug 19, 5:13 PM ET
Size
19.8 KB
Accession
0001397911-22-000130
Insider Transaction Report
Form 4
Oroschakoff Michelle
MD, Chief Risk Officer
Transactions
- Sale
Common Stock
2022-08-17$231.90/sh−345$80,006→ 38,633.148 total - Sale
Common Stock
2022-08-17$225.88/sh−6,086$1,374,706→ 45,430.148 total - Sale
Common Stock
2022-08-17$228.09/sh−3,043$694,078→ 42,387.148 total - Exercise/Conversion
Option to purchase Common Stock
2022-08-17−9,448→ 0 totalExercise: $65.50Exp: 2028-02-23→ Common Stock (9,448 underlying) - Exercise/Conversion
Common Stock
2022-08-17$65.50/sh+9,448$618,844→ 51,516.148 total - Sale
Common Stock
2022-08-17$228.77/sh−1,300$297,401→ 41,087.148 total - Sale
Common Stock
2022-08-17$230.06/sh−1,709$393,173→ 39,378.148 total - Sale
Common Stock
2022-08-17$230.98/sh−400$92,392→ 38,978.148 total
Footnotes (10)
- [F1]The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2022.
- [F10]This option became exercisable in three installments, beginning on February 23, 2019, which was the first anniversary of the date on which it was granted. The option became fully vested on February 23, 2021.
- [F2]The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2022.
- [F3]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $224.91 to $225.88, 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 range set forth in this footnote (3) to this Form 4.
- [F4]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $227.53 to $228.51, 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 range set forth in this footnote (4) to this Form 4.
- [F5]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $228.53 to $229.525, 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 range set forth in this footnote (5) to this Form 4.
- [F6]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $229.62 to $230.38, 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 range set forth in this footnote (6) to this Form 4.
- [F7]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $230.68 to $231.27, 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 range set forth in this footnote (7) to this Form 4.
- [F8]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $231.85 to $231.94, 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 range set forth in this footnote (8) to this Form 4.
- [F9]Consists of (i) 34,104.15 shares of Common Stock; (ii) 1,019 restricted stock units that vest in full on February 25, 2023; (iii) 1,693 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024; and (iv) 1,817 restricted stock units that vest ratably on each of February 25, 2023, February 25, 2024 and February 25, 2025.
Documents
Issuer
LPL Financial Holdings Inc.
CIK 0001397911
Entity typeother
Related Parties
1- filerCIK 0001585874
Filing Metadata
- Form type
- 4
- Filed
- Aug 18, 8:00 PM ET
- Accepted
- Aug 19, 5:13 PM ET
- Size
- 19.8 KB