SEC Form 4 · accession 0001397911-15-000181
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michelle Oroschakoff
Officer — MD, Chief Risk Officer
Period of report
Nov 1, 2015
Accepted (ET)
Nov 3, 2015 · 4:34 pm EST
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 | Nov 1, 2015 | F | 152 | $42.60 | D | 10,320 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 2,300 shares of Common Stock; (ii) 2,711 restricted stock units that vest ratably on each of September 3, 2016 and September 3, 2017; (iii) 1,277 restricted stock units that vest ratably on each of February 24, 2016 and February 24, 2017; (iv) 805 restricted stock units that vest ratably on each of November 1, 2016 and November 1, 2017; (v) 2,305 restricted stock units that vest ratably on each of March 6, 2016, March 6, 2017 and March 6, 2018; and (vi) 922 restricted stock units that vest in full on March 6, 2018.