SEC Form 4 · accession 0001397911-17-000043
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michelle Oroschakoff
Officer — Managing Director
Period of report
Feb 24, 2017
Accepted (ET)
Feb 28, 2017 · 8:50 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 | 280 | $39.13 | D | 16,436 | D | |
| Common StockF1,F2 | Feb 25, 2017 | F | 607 | $39.13 | D | 15,829 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 124.377293 shares acquired under the Issuer's Dividend Reinvestment Plan.
- F2Consists of (i) 5,574.377293 shares of Common Stock; (ii) 1,356 restricted stock units that vest in full on September 3, 2017; (iii) 402 restricted stock units that vest in full on November 1, 2017; (iv) 1,536 restricted stock units that vest ratably on each of March 6, 2017 and March 6, 2018; (v) 922 restricted stock units that vest in full on March 6, 2018; (vi) 2,928 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; and (vii) 3,111 restricted stock units that vest in full on February 25, 2019.
Remarks
The signatory is signing on behalf of Michelle Oroschakoff pursuant to a Power of Attorney dated August 10, 2015, which is filed as Exhibit 24.1 to this filing