SEC Form 4 · accession 0001397911-17-000035
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas Gooley
Officer — Managing Director
Period of report
Feb 25, 2017
Accepted (ET)
Feb 28, 2017 · 8:31 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 | 760 | $39.13 | D | 16,870 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 2,599 shares of Common Stock; (ii) 4,572 restricted stock units that vest ratably on August 6, 2017 and August 6, 2018; (iii) 3,660 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (iv) 3,111 restricted stock units that vest in full on February 25, 2019; and (v) 2,928 restricted stock units that vest ratably on each of June 13, 2017, June 13, 2018 and June 13, 2019.
Remarks
The signatory is filing on behalf of Thomas Gooley pursuant to a Power of Attorney dated June 27, 2015, which was previously filed with the Commission.