SEC Form 4 · accession 0001397911-15-000193
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Victor Fetter
Officer — MD, Chief Information Officer
Period of report
Dec 17, 2015
Accepted (ET)
Dec 21, 2015 · 4:35 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 | Dec 17, 2015 | F | 2,219 | $42.98 | D | 17,640 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 8,793 shares of common stock; (ii) 1,824 restricted stock units that vest ratably on February 24, 2016 and February 24, 2017; (iii) 2,736 restricted stock units that vest in full on February 24, 2017; (iv) 1,225 restricted stock units that vest in full on March 6, 2018; and (v) 3,062 restricted stock units that vest ratably on March 6, 2016, March 6, 2017, and March 6, 2018.