SEC Form 4 · accession 0001397911-17-000162
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott Seese
Officer — Managing Director
Period of report
Aug 21, 2017
Accepted (ET)
Aug 23, 2017 · 5:24 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 21, 2017 | A | 22,148 | $0.00 | A | 22,148 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on each of August 21, 2018 and August 21, 2019. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.