SEC Form 4 · accession 0001397911-17-000041
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William P. Morrissey Jr.
Officer — Managing Director
Period of report
Feb 24, 2017
Accepted (ET)
Feb 28, 2017 · 8:45 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 | 203 | $39.13 | D | 15,184 | D | |
| Common StockF1 | Feb 25, 2017 | F | 859 | $39.13 | D | 14,325 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 5,415 shares of Common Stock; (ii) 1,334 restricted stock units that vest ratably on March 6, 2017 and March 6, 2018; (iii) 4,465 restricted stock units that vest ratably on February 25, 2018 and February 25, 2019; and (iv) 3,111 restricted stock units that vest in full on February 25, 2019.
Remarks
The signatory is signing on behalf of William P. Morrissey, Jr. pursuant to a Power of Attorney dated August 14, 2015