SEC Form 4 · accession 0001397911-18-000211
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dan H. Arnold
Officer — President & CEO · Director
Period of report
Nov 13, 2018
Accepted (ET)
Nov 28, 2018 · 8:31 pm EST
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 | Nov 13, 2018 | G | 4,000 | $0.00 | D | 232,987 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The charitable gift reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 1, 2018.
- F2Consists of (i) 187,064.94 shares of Common Stock; (ii) 4,002 restricted stock units that vest on February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; and (iv) 38,809 restricted stock units that vest ratably on each of February 13, 2020, February 13, 2021 and February 13, 2022.
Remarks
The signatory is signing on behalf of Dan H. Arnold pursuant to a Power of Attorney dated March 15, 2017.