SEC Form 4 · accession 0001397911-15-000049
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 24, 2015
Accepted (ET)
Feb 26, 2015 · 8:53 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 | Feb 24, 2015 | F | 212 | $45.58 | D | 5,282 | D | |
| Common StockF1 | Feb 25, 2015 | F | 838 | $45.46 | D | 4,444 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 2,332 shares of Common Stock; (ii) 1,139 restricted stock units that vest ratably on February 22, 2016 and February 22, 2017; and (iii) 973 restricted stock units that vest ratably on February 24, 2016 and February 24, 2017.