SEC Form 4 · accession 0001397911-18-000065
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William P. Morrissey Jr.
Officer — Managing Director
Period of report
Mar 13, 2018
Accepted (ET)
Mar 15, 2018 · 9:42 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 | 400 | $64.99 | D | 18,091 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 8,482 shares of Common Stock; (ii) 2,232 restricted stock units that vest in full on February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; (iv) 2,312 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (v) 1,954 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 William P. Morrissey, Jr. pursuant to a Power of Attorney dated August 14, 2015.