SEC Form 4 · accession 0001397911-18-000197
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew J Audette
Officer — Chief Financial Officer
Period of report
Oct 30, 2018
Accepted (ET)
Oct 31, 2018 · 6:39 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 | Oct 30, 2018 | F | 2,909 | $58.64 | D | 32,974 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 15,613 shares of Common Stock; (ii) 3,842 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) 5,277 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (v) 5,131 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 Matthew J. Audette pursuant to a Power of Attorney dated September 30, 2015.