SEC Form 4 · accession 0001397911-17-000045
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George Burton White
Officer — Managing Director
Period of report
Feb 24, 2017
Accepted (ET)
Feb 28, 2017 · 8:59 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 | 298 | $39.13 | D | 20,796 | D | |
| Common StockF1 | Feb 25, 2017 | F | 912 | $39.13 | D | 19,884 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 7,397 shares of Common Stock; (ii) 2,660 restricted stock units that vest ratably on March 6, 2017 and March 6, 2018; (iii) 1,409 restricted stock units that vest ratably on June 10, 2017 and June 10, 2018; (iv) 5,307 restricted stock units that vest ratably on 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 George Burton White pursuant to a Power of Attorney dated August 11, 2015.