SEC Form 4 · accession 0001397911-15-000065
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark S Casady
Officer — Chairman & Chief Exec. Officer · Director
Period of report
Mar 6, 2015
Accepted (ET)
Mar 10, 2015 · 8:18 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001397911
Table I — non-derivative securities
No Table I lines on this filing.
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 | $45.55 | Mar 6, 2015 | A | 400,000 | A | — | Mar 6, 2025 | Common Stock | 400,000 | 400,000 | D |
Explanation of responses
- F1This option becomes exercisable in three equal annual installments on each of March 6, 2016, March 6, 2017 and March 6, 2018.