SEC Form 4 · accession 0001397911-17-000037
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Andrew Kalbaugh
Officer — Managing Director
Period of report
Feb 24, 2017
Accepted (ET)
Feb 28, 2017 · 8:36 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 | 232 | $39.13 | D | 25,661 | D | |
| Common StockF1 | Feb 25, 2017 | F | 950 | $39.13 | D | 24,711 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 7,941 shares of Common Stock; (ii) 1,712 restricted stock units that vest ratably on March 6, 2017 and March 6, 2018; (iii) 1,541 restricted stock units that vest in full on March 6, 2018; (iv) 5,526 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (v) 3,111 restricted stock units that vest in full on February 25, 2019; and (vi) 4,880 restricted stock units that vest ratably on each of June 13, 2017, June 13, 2018, and June 13, 2019.
Remarks
The signatory is signing on behalf of John Andrew Kalbaugh pursuant to a Power of Attorney dated August 3, 2015.