SEC Form 4 · accession 0001397911-18-000166
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott Seese
Officer — Managing Director
Period of report
Aug 21, 2018
Accepted (ET)
Aug 23, 2018 · 5:27 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 | Aug 21, 2018 | F | 5,133 | $66.38 | D | 21,168 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 5,941 shares of Common Stock; (ii) 11,074 restricted stock units that vest in full on August 21, 2019; and (iii) 4,153 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 Scott Seese pursuant to a Power of Attorney dated July 12, 2017, which is filed as Exhibit 24.1 to this filing.