SEC Form 4 · accession 0001397911-16-000368
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anne M Mulcahy
Director
Period of report
Dec 14, 2016
Accepted (ET)
Dec 16, 2016 · 7:15 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 | Dec 14, 2016 | A | 3,468 | $0.00 | A | 13,439 | D | |
| Common StockF2 | Dec 14, 2016 | A | 1,734 | $0.00 | A | 15,173 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares represent restricted stock that was granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan pursuant to the Issuer's Non-Employee Director Compensation Policy. This restricted stock is scheduled to vest in full on May 11, 2017.
- F2The reporting person elected to receive these shares in lieu of the cash portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy.
Remarks
The signatory is signing on behalf of Anne M. Mulcahy pursuant to a Power of Attorney dated March 10, 2014, which was previously filed with the Commission