SEC Form 4 · accession 0001397911-18-000061
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
Mar 13, 2018
Accepted (ET)
Mar 15, 2018 · 9:35 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 | Mar 13, 2018 | F | 960 | $64.99 | D | 22,910 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 6,353 shares of Common Stock; (ii) 2,286 restricted stock units that vest in full on August 6, 2018; (iii) 1,830 restricted stock units that vest in full on 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; (vi) 3,958 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; (vii) and 3,420 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021.
Remarks
The signatory is signing on behalf of Thomas Gooley pursuant to a Power of Attorney dated June 27, 2015.