SEC Form 4 · accession 0001397911-17-000133
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James S Riepe
Director
Period of report
May 18, 2017
Accepted (ET)
May 22, 2017 · 9:46 pm EDT
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 | May 18, 2017 | A | 3,199 | $0.00 | A | 64,667 | D | |
| Common StockF2 | May 18, 2017 | A | 1,968 | $0.00 | A | 66,635 | D | |
| Common Stock | holding | — | — | — | 35,971 | I | By Stone Barn LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares represent restricted stock that was granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan ("Plan") pursuant to the Issuer's Non-Employee Director Compensation Policy ("Policy"). This restricted stock is scheduled to vest in full on May 18, 2018.
- F2The reporting person elected to receive these shares, which were granted under the Plan, in lieu of the cash portion of the annual retainer under the Policy.
Remarks
The signatory is signing on behalf of James S. Riepe pursuant to a Power of Attorney dated March 10, 2014, which was previously filed with the Commission.