SEC Form 4 · accession 0001397911-16-000251
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark S Casady
Officer — Chairman & Chief Exec. Officer · Director
Period of report
Feb 25, 2016
Accepted (ET)
Feb 29, 2016 · 8:29 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001397911
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to purchase Common StockF1 | $19.85 | Feb 25, 2016 | A | 403,329 | A | — | Feb 25, 2026 | Common Stock | 403,329 | 403,329 | D |
Explanation of responses
- F1This option becomes exercisable in three equal annual installments on each of February 25, 2017, February 25, 2018 and February 25, 2019.
Remarks
The signatory is signing on behalf of Mark Casady pursuant to a Power of Attorney dated May 28, 2015, which is filed as Exhibit 24.1 to this filing.