SEC Form 4 · accession 0001397911-17-000188
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michelle Oroschakoff
Officer — Managing Director
Period of report
Nov 1, 2017
Accepted (ET)
Nov 3, 2017 · 5:15 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,F2 | Nov 1, 2017 | F | 210 | $49.39 | D | 18,426 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 109.770888 shares acquired under the Issuer's Dividend Reinvestment Plan.
- F2Consists of (i) 7,057.1482 shares of Common Stock; (ii) 767 restricted stock units that vest in full on March 6, 2018; (iii) 922 restricted stock units that vest in full on March 6, 2018; (iv) 2,928 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) 3,641 restricted stock units that vest ratably on each of March 13, 2018, March 13, 2019 and March 13, 2020.