SEC Form 4 · accession 0001397911-17-000055
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sallie R. Larsen
Officer — Managing Director
Period of report
Mar 6, 2017
Accepted (ET)
Mar 8, 2017 · 8:23 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 | 298 | $39.30 | D | 14,308 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 7,062 shares of Common Stock; (ii) 789 restricted stock units that vest in full on March 6, 2018; (iii) 711 restricted stock units that vest in full on March 6, 2018; (iv) 3,111 restricted stock units that vest in full on February 25, 2019; and (v) 2,635 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019.
Remarks
The signatory is signing on behalf of Sallie R. Larsen pursuant to a Power of Attorney dated August 3, 2015.