SEC Form 4 · accession 0001397911-17-000049
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David P. Bergers
Officer — Managing Director
Period of report
Mar 6, 2017
Accepted (ET)
Mar 8, 2017 · 8:07 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 | Mar 6, 2017 | F | 518 | $39.30 | D | 39,613 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 27,479 shares of Common Stock; (ii) 1,578 restricted stock units that vest in full on August 5, 2017; (iii) 2,688 restricted stock units that vest ratably on each of August 5, 2017 and August 5, 2018; (iv) 1,097 restricted stock units that vest in full on March 6, 2018; (v) 3,660 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; and (vi) 3,111 restricted stock units that vest in full on February 25, 2019.
Remarks
The signatory is signing on behalf of David P. Bergers pursuant to a Power of Attorney dated August 3, 2015.