SEC Form 4 · accession 0001397911-19-000033
LPL Financial Holdings Inc. · LPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dayton Semerjian
Officer — Managing Director
Period of report
Feb 28, 2019
Accepted (ET)
Mar 4, 2019 · 6:43 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 StockF1 | Feb 28, 2019 | A | 10,772 | $0.00 | A | 10,772 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 28, 2020 and February 28, 2021. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.
Remarks
The signatory is signing on behalf of Dayton Semerjian pursuant to a Power of Attorney dated February 28, 2019.