SEC Form 4 · accession 0001397911-15-000195
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dan H. Arnold
Officer — President
Period of report
Dec 7, 2015
Accepted (ET)
Dec 21, 2015 · 4:40 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 7, 2015 | G | 3,500 | $0.00 | D | 180,117 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 165,184 shares of Common Stock; (ii) 2,189 restricted stock units that vest ratably on February 24, 2016 and February 24, 2017; (iii) 9,122 restricted stock units that vest in full on February 24, 2017; and (iv) 3,622 restricted stock units that vest in full on March 6, 2016, March 6, 2017 and March 6, 2018.