SEC Form 4 · accession 0001397911-15-000022
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mary Frances Schott
Officer — MD, Client Expernce & Training
Period of report
Feb 22, 2015
Accepted (ET)
Feb 24, 2015 · 8:30 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 StockF1 | Feb 22, 2015 | F | 250 | $45.69 | D | 5,494 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 639 shares of Common Stock; (ii) 1,139 restricted stock units that vest ratably on February 22, 2016 and February 22, 2017; (iii) 2,257 restricted stock units that vest in full on February 25, 2015; and (iv) 1,459 restricted stock units that vest ratably on February 24, 2015, February 24, 2016 and February 24, 2017.
Remarks
Ms. Schott is known professionally as Mimi Bock.