SEC Form 4 · accession 0001397911-18-000146
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George Burton White
Officer — Managing Director
Period of report
Jun 10, 2018
Accepted (ET)
Jun 12, 2018 · 5:39 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 | Jun 10, 2018 | F | 327 | $71.05 | D | 24,474 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 12,622 shares of Common Stock; (ii) 2,653 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) 3,034 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (v) 3,054 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 George Burton White pursuant to a Power of Attorney dated August 11, 2015.