SEC Form 4 · accession 0001397911-18-000186
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sallie R. Larsen
Officer — Managing Director
Period of report
Sep 28, 2018
Accepted (ET)
Oct 2, 2018 · 5:50 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 StockF2 | Sep 28, 2018 | S | 250 | $64.40 | D | 17,832 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 27, 2018.
- F2Consists of (i) 9,209 shares of Common Stock; (ii) 3,111 restricted stock units that vest in full on February 25, 2019; (iii) 1,317 restricted stock units that vest in full on February 25, 2019; (iv) 1,899 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (v) 2,296 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 Sallie R. Larsen pursuant to a Power of Attorney dated August 3, 2015.