SEC Form 4 · accession 0001397911-16-000289
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George Burton White
Officer — MD, Research
Period of report
Mar 6, 2016
Accepted (ET)
Mar 8, 2016 · 7:37 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 | Mar 6, 2016 | F | 433 | $21.44 | D | 21,675 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 3,941 shares of Common Stock; (ii) 1,021 restricted stock units that vest in full on February 22, 2017; (iii) 867 restricted stock units that vest in full on February 24, 2017; (iv) 2,660 restricted stock units that vest ratably on March 6, 2017 and March 6, 2018; (v) 2,114 restricted stock units that will vest ratably on each of June 10, 2016, June 10, 2017 and June 10, 2018; (vi) 7,961 restricted stock units that vest ratably on each of February 25, 2017, February 25, 2018 and February 25, 2019; and (vii) 3,111 restricted stock units that vest in full on February 25, 2019.
Remarks
The signatory is signing on behalf of George Burton White pursuant to a Power of Attorney dated August 11, 2015.