Accession Number: | 0001397911-22-000052 |
Date: | 2022-03-29 |
Issuer: | LPL FINANCIAL HOLDINGS INC. (LPLA) |
Original Submission Date: |
GLAVIN WILLIAM FRANCIS JR
C/O LPL FINANCIAL HOLDINGS INC.
4707 EXECUTIVE DRIVE
SAN DIEGO, CA 92121
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
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COMMON STOCK | 2022-03-29 | A | 1 | a | $0.00 | 18,443 | direct | ||
COMMON STOCK | 2022-03-29 | A | 17 | a | $0.00 | 18,460 | direct | ||
COMMON STOCK | 2022-03-29 | 0 | $0.00 | 1,760 | indirect |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
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ID | footnote |
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f1 | represents stock unit granted under the issuer's 2021 omnibus equity incentive plan (the "2021 plan"). the stock unit represents the right to receive one share of common stock and is scheduled to vest in full on may 17, 2022. the reporting person was previously granted stock units that were subject to a written deferral election under the issuer's non-employee director deferred compensation plan (the "ddcp"), which stock units are scheduled to vest in full on may 17, 2022. the stock unit reported hereby was credited to the reporting person's ddcp account in connection with a quarterly cash dividend that was paid on shares of common stock. |
f2 | represents stock units granted under the 2021 plan. each stock unit represents the right to receive one share of common stock and is fully vested. the reporting person was previously granted stock units that were subject to a written deferral election under the ddcp, which stock units are fully vested as of the date hereof. the stock units reported hereby were credited to the reporting person's ddcp account in connection with a quarterly cash dividend that was paid on shares of common stock. |