SEC Form 4 · accession 0001397911-16-000208
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Andrew Kalbaugh
Officer — MD,Rel. Mgmt & Bus. Consulting
Period of report
Feb 22, 2016
Accepted (ET)
Feb 24, 2016 · 5:26 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 | Feb 22, 2016 | F | 329 | $19.92 | D | 10,501 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 4,186 shares of Common Stock; (ii) 856 restricted stock units that vest in full on February 22, 2017; (iii) 1,350 restricted stock units that vest ratably on February 24, 2016 and February 24, 2017; (iv) 2,568 restricted stock units that vest ratably on March 6, 2016, March 6, 2017 and March 6, 2018; and (v) 1,541 restricted stock units that fully vests on March 6, 2018.
Remarks
The signatory is signing on behalf of John Andrew Kalbaugh pursuant to a Power of Attorney dated August 3, 2015, which is filed as Exhibit 24.1 to this filing.