SEC Form 4 · accession 0001397911-15-000132
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
May 18, 2015
Accepted (ET)
May 20, 2015 · 6:10 pm EDT
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 | May 18, 2015 | A | 1,592 | $42.85 | A | 56,233 | D | |
| Common Stock | holding | — | — | — | 35,971 | I | By Stone Barn LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person elected to receive these shares in lieu of the cash portion of the annual retainer under the issuer's non-employee director compensation policy.
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.