Corey E. Thomas - 07 Jun 2021 Form 4 Insider Report for LPL Financial Holdings Inc. (LPLA)

Reporting relationship: Director
Issuer ticker: LPLA
Reported as of: 07 Jun 2021
Net transaction value: $0
SEC form: 4
Accepted by SEC: 09 Jun 2021, 17:56:12 UTC
Prior SEC filing: 02 Jun 2021
Next SEC filing: 10 Jun 2021
Source filing: View source filing
Reporting owner signature: /s/ Gregory M. Woods, attorney-in-fact

Key filing fact

Corey E. Thomas filed Form 4 for LPL Financial Holdings Inc. (LPLA) on 09 Jun 2021.

Key facts

This page summarizes Corey E. Thomas's Form 4 filing for LPL Financial Holdings Inc. (LPLA).
2 reported transactions and 0 derivative rows are listed below.
Accepted by SEC: 09 Jun 2021, 17:56.

Change

Previous filing in this sequence was filed on 02 Jun 2021.
Current net transaction value: $0.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

LPLA transaction

Common Stock

Award

Transaction value: $0
Shares: +1
Change %: +0.01%
Price: $0.000000
Shares after: 9,061
Date: 07 Jun 2021
Ownership: Direct
Footnotes: F1

LPLA transaction

Common Stock

Award

Transaction value: $0
Shares: +10
Change %: +0.11%
Price: $0.000000
Shares after: 9,071
Date: 07 Jun 2021
Ownership: Direct
Footnotes: F2

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 2 footnotes

Footnote 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.

Footnote 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.

SEC remarks

The signatory is signing on behalf of Corey E. Thomas pursuant to a Power of Attorney dated April 29, 2019.