SEC Form 4 · accession 0001397911-16-000227
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
Feb 24, 2016
Accepted (ET)
Feb 26, 2016 · 7:53 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 | 351 | $19.35 | D | 17,289 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 9,354 shares of common stock; (ii) 912 restricted stock units that vest in full on 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.
Remarks
The signatory is signing on behalf of Victor Fetter pursuant to a Power of Attorney dated February 8, 2016, which is filed as Exhibit 24.1 to this filing.