SEC Form 4 · accession 0001397911-15-000157
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David P. Bergers
Officer — MD, Legal & Gov't Relations
Period of report
Aug 5, 2015
Accepted (ET)
Aug 7, 2015 · 4:35 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 | Aug 5, 2015 | F | 19,218 | $43.66 | D | 34,105 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 22,876 shares of Common Stock; (ii) 3,156 restricted stock units that vest ratably on each of August 5, 2016 and August 5, 2017; (iii) 748 restricted stock units that vest ratably on February 24, 2016 and February 24, 2017; (iv) 4,032 restricted stock units that vest ratably on each of August 5, 2016, August 5, 2017 and August 5, 2018; and (v) 3,293 restricted stock units that vest ratably on March 6, 2016, March 6, 2017, and March 6, 2018