SEC Form 4 · accession 0001397911-17-000147
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
Jun 10, 2017
Accepted (ET)
Jun 13, 2017 · 5:25 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 | Jun 10, 2017 | F | 243 | $41.47 | D | 23,736 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 8,732 shares of Common Stock; (ii) 1,330 restricted stock units that vest in full on March 6, 2018; (iii) 704 restricted stock units that vest in full on June 10, 2018; (iv) 5,307 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (v) 3,111 restricted stock units that vest in full on February 25, 2019; and (vi) 4,552 restricted stock units that vest ratably on each of March 13, 2018, March 13, 2019 and March 13, 2020.
Remarks
The signatory is signing on behalf of George Burton White pursuant to a Power of Attorney dated August 11, 2015.