SEC Form 4 · accession 0001397911-16-000223
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David P. Bergers
Officer — MD, Legal & Gov't Relations
Period of report
Feb 24, 2016
Accepted (ET)
Feb 26, 2016 · 7:41 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 24, 2016 | F | 142 | $19.35 | D | 33,963 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 23,108 shares of Common Stock; (ii) 3,156 restricted stock units that vest ratably on each of August 5, 2016 and August 5, 2017; (iii) 374 restricted stock units that vest in full on February 24, 2017; (iv) 4,032 restricted stock units that vest ratably on each of August 5, 2016, August 5, 2017 and August 5, 2018; and (v) 3,293 restricted stock units that vest ratably on March 6, 2016, March 6, 2017, and March 6, 2018.
Remarks
The signatory is signing on behalf of David P. Bergers pursuant to a Power of Attorney dated August 3, 2015, which is filed as Exhibit 24.1 to this filing.