SEC Form 4 · accession 0001397911-16-000358
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michelle Oroschakoff
Officer — MD, Chief Risk Officer
Period of report
Nov 1, 2016
Accepted (ET)
Nov 3, 2016 · 4:33 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 | Nov 1, 2016 | F | 152 | $31.49 | D | 16,592 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 4,234 shares of Common Stock; (ii) 1,356 restricted stock units that vest in full on September 3, 2017; (iii) 639 restricted stock units that vest in full on February 24, 2017; (iv) 402 restricted stock units that vest in full on November 1, 2017; (v) 1,536 restricted stock units that vest ratably on each of March 6, 2017 and March 6, 2018; (vi) 922 restricted stock units that vest in full on March 6, 2018; (vii) 4,392 restricted stock units that vest ratably on each of February 25, 2017, February 25, 2018 and February 25, 2019; and (viii) 3,111 restricted stock units that vest in full on February 25, 2019.