SEC Form 4 · accession 0001397911-17-000027
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew J Audette
Officer — Chief Financial Officer
Period of report
Feb 25, 2017
Accepted (ET)
Feb 28, 2017 · 8:10 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 25, 2017 | F | 1,479 | $39.13 | D | 28,561 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 6,028 shares of Common Stock; (ii) 7,686 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; and (iv) 11,736 restricted stock units that vest ratably on each of October 30, 2017 and October 30, 2018.
Remarks
The signatory is signing on behalf of Matthew J. Audette pursuant to a Power of Attorney dated September 30, 2015.