SEC Form 4 · accession 0001397911-16-000341
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
Aug 5, 2016
Accepted (ET)
Aug 9, 2016 · 5:18 pm EDT
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 | Aug 5, 2016 | F | 1,320 | $26.72 | D | 40,887 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 25,451 shares of Common Stock; (ii) 1,578 restricted stock units that vest on August 5, 2017; (iii) 374 restricted stock units that vest in full on February 24, 2017; (iv) 2,688 restricted stock units that vest ratably on August 5, 2017 and August 5, 2018; (v) 2,195 restricted stock units that vest ratably on March 6, 2017 and March 6, 2018; (vi) 5,490 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.