SEC Form 4 · accession 0001397911-19-000022
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas Gooley
Officer — Managing Director
Period of report
Feb 23, 2019
Accepted (ET)
Feb 26, 2019 · 9:35 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 Stock | Feb 23, 2019 | F | 566 | $77.04 | D | 20,726 | D | |
| Common StockF1 | Feb 25, 2019 | F | 2,451 | $77.53 | D | 18,275 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 11,061 shares of Common Stock; (ii) 976 restricted stock units that vest in full on June 13, 2019; (iii) 3,958 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (iv) 2,280 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021.
Remarks
The signatory is signing on behalf of Thomas Gooley pursuant to a Power of Attorney dated June 27, 2015.