SEC Form 4 · accession 0001397911-17-000160
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
Aug 6, 2017
Accepted (ET)
Aug 8, 2017 · 5:20 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 | Aug 6, 2017 | F | 1,193 | $46.11 | D | 21,104 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 4,158 shares of Common Stock; (ii) 2,286 restricted stock units that vest in full on 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.