SEC Form 4 · accession 0001397911-15-000171
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Viet D Dinh
Director
Period of report
Oct 1, 2015
Accepted (ET)
Oct 2, 2015 · 5:31 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 | Oct 1, 2015 | A | 1,925 | $39.39 | A | 1,925 | D | |
| Common StockF2 | Oct 1, 2015 | A | 962 | $39.39 | A | 2,887 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares represent restricted stock that was granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan. This restricted stock will vest in full on May 12, 2016.
- F2The 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 Viet D. Dinh pursuant to a Power of Attorney dated August 31, 2015, which was previously filed with the Commission.