Form 4 for LPLA LPL Financial Holdings Inc.
Accepted 2023-05-16 00:00:00 ET · period of report 2023-05-12 · accession 0001397911-23-000093 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| M | 2023-05-16 | 2023-05-12 | LPLA | Putnam James S | Dir | A - Grant | $0.00 | +1,290 | 135.2K | +1.0% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-05-12 | A | A | 784 | $0.00 | 134,729.50 | D | — | — | (F1) Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan pursuant to which the reporting person elected to defer receipt of the equity portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy (the "Policy"). |
| 2 | Common | Common Stock | 2023-05-12 | A | A | 506 | $0.00 | 135,235.50 | D | — | — | (F2) The reporting person elected to receive these shares, which were granted under the 2021 Plan, in lieu of the cash portion of the annual retainer under the Policy. |