SEC Form 4 · accession 0001397911-18-000120
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James S Putnam
Director
Period of report
May 18, 2018
Accepted (ET)
May 22, 2018 · 6:24 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 | May 18, 2018 | A | 2,463 | $0.00 | A | 124,744 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares represent restricted stock that was granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan pursuant to the Issuer's Non-Employee Director Compensation Policy. This restricted stock is scheduled to vest in full on May 7, 2019.
Remarks
The signatory is signing on behalf of James S. Putnam pursuant to a Power of Attorney dated March 9, 2014.