SEC Form 4 · accession 0001397911-17-000033
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Victor Fetter
Officer — Managing Director
Period of report
Feb 24, 2017
Accepted (ET)
Feb 28, 2017 · 8:26 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 | 1,293 | $39.13 | D | 24,259 | D | |
| Common StockF1 | Feb 25, 2017 | F | 629 | $39.13 | D | 23,630 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 13,593 shares of common stock; (ii) 1,225 restricted stock units that vest in full on March 6, 2018; (iii) 2,041 restricted stock units that vest ratably on March 6, 2017 and March 6, 2018; (iv) 3,660 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; and (v) 3,111 restricted stock units that vest in full on February 25, 2019.
Remarks
The signatory is signing on behalf of Victor Fetter pursuant to a Power of Attorney dated February 8, 2016.