SEC Form 4 · accession 0001397911-17-000022
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William P. Morrissey Jr.
Officer — MD, Divisional President BD
Period of report
Feb 22, 2017
Accepted (ET)
Feb 23, 2017 · 9:51 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 | Feb 22, 2017 | F | 261 | $40.16 | D | 15,387 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 3,782 shares of Common Stock; (ii) 462 restricted stock units that vest on February 24, 2017; (iii) 1,334 restricted stock units that vest ratably on March 6, 2017 and March 6, 2018; (iv) 6,698 restricted stock units that vest ratable on February 25, 2017, February 25, 2018, and February 25, 2019; and (v) 3,111 restricted stock units that vest on February 25, 2019.