SEC Form 4 · accession 0001397911-17-000029
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David P. Bergers
Officer — Managing Director
Period of report
Feb 24, 2017
Accepted (ET)
Feb 28, 2017 · 8:16 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 Stock | Feb 24, 2017 | F | 142 | $39.13 | D | 40,745 | D | |
| Common StockF1 | Feb 25, 2017 | F | 614 | $39.13 | D | 40,131 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 26,899 shares of Common Stock; (ii) 1,578 restricted stock units that vest on August 5, 2017; (iii) 2,688 restricted stock units that vest ratably on August 5, 2017 and August 5, 2018; (iv) 2,195 restricted stock units that vest ratably on March 6, 2017 and March 6, 2018; (v) 3,660 restricted stock units that vest ratably on February 25, 2018 and February 25, 2019; and (vi) 3,111 restricted stock units that vest in full on February 25, 2019.
Remarks
The signatory is signing on behalf of David P. Bergers pursuant to a Power of Attorney dated August 3, 2015.