SEC Form 4 · accession 0001397911-15-000136
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lux Thomas
Officer — Acting Chief Financial Officer
Period of report
May 18, 2015
Accepted (ET)
May 20, 2015 · 6:19 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 | M | 2,000 | $22.08 | A | 10,378 | D |
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 StockF2 | $22.08 | May 18, 2015 | M | 2,000 | D | — | Sep 14, 2019 | Common Stock | 2,000 | 11,300 | D |
Explanation of responses
- F1Consists of (i) 8,505 shares of Common Stock; (ii) 1,044 restricted stock units that vest ratably on February 22, 2016 and February 22, 2017; and (iii) 829 restricted stock units that vest ratably on February 24, 2016 and February 24, 2017.
- F2This option, representing the right to purchase a total of 20,000 shares of common stock, became exercisable in five equal installments beginning on September 14, 2010, which was the first anniversary of the date on which it was granted, and became fully vested and exercisable on September 14, 2014.