SEC Form 4 · accession 0001397911-16-000275
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey R. Buchheister
Officer — EVP, Chief Accounting Officer
Period of report
Feb 12, 2016
Accepted (ET)
Mar 8, 2016 · 6:53 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 Stock | Feb 12, 2016 | P | 100 | $16.40 | A | 7,504 | D | |
| Common StockF1 | Mar 6, 2016 | F | 163 | $21.44 | D | 7,341 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 4,052 shares of Common Stock; (ii) 185 restricted stock units that vest in full on February 22, 2017; (iii) 170 restricted stock units that vest in full on February 24, 2017; (iv) 885 restricted stock units that vest ratably on March 6, 2017 and March 6, 2018; and (v) 2,049 restricted stock units that vest ratably on each of February 25, 2017, February 25, 2018 and February 25, 2019.
Remarks
The signatory is signing on behalf of Jeffrey Buchheister pursuant to a Power of Attorney dated August 21, 2015.