SEC Form 4 · accession 0001397911-17-000149
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas Gooley
Officer — Managing Director
Period of report
Jun 13, 2017
Accepted (ET)
Jun 15, 2017 · 7:54 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 13, 2017 | F | 510 | $42.08 | D | 22,297 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 3,065 shares of Common Stock; (ii) 4,572 restricted stock units that vest ratably on each of August 6, 2017 and August 6, 2018; (iii) 3,660 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (iv) 3,111 restricted stock units that vest in full on February 25, 2019; (v) 1,952 restricted stock units that vest ratably on each of June 13, 2018 and June 13, 2019; and (vi) 5,937 restricted stock units that vest ratably on each of March 13, 2018, March 13, 2019 and March 13, 2020.
Remarks
The signatory is filing on behalf of Thomas Gooley pursuant to a Power of Attorney dated June 27, 2015.