Accession Number: | 0001397911-22-000082 |
Date: | 2022-05-19 |
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 |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2022-05-19 | A | 814 | a | $0.00 | 19,274 | direct | ||
COMMON STOCK | 2022-05-19 | A | 525 | a | $0.00 | 19,799 | direct | ||
COMMON STOCK | 2022-05-19 | 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 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 10, 2023. these stock units are subject to a written deferral election under the issuer's non-employee director deferred compensation plan (the "ddcp") 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"). |
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. these stock units are subject to a written deferral election under the ddcp pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the policy. |