SEC Form 4 · accession 0001397911-16-000343
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas Gooley
Officer — MD, Svc, Trading & Operations
Period of report
Aug 6, 2016
Accepted (ET)
Aug 9, 2016 · 5:22 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 6, 2016 | F | 757 | $26.72 | D | 17,630 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 1,529 shares of Common Stock; (ii) 4,572 restricted stock units that vest ratably on August 6, 2017 and August 6, 2018; (iii) 5,490 restricted stock units that vest ratably on each of February 25, 2017, February 25, 2018 and February 25, 2019; (iv) 3,111 restricted stock units that vest in full on February 25, 2019; and (v) 2,928 restricted stock units that vest ratably on each of June 13, 2017, June 13, 2018 and June 13, 2019.
Remarks
The signatory is filing on behalf of Thomas Gooley pursuant to a Power of Attorney dated June 25, 2015, which was previously filed with the Commission.