0001397911-23-000101.txt : 20230605
0001397911-23-000101.hdr.sgml : 20230605
20230605163242
ACCESSION NUMBER: 0001397911-23-000101
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230601
FILED AS OF DATE: 20230605
DATE AS OF CHANGE: 20230605
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: EBERHART PAULETT
CENTRAL INDEX KEY: 0001179702
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 23993020
MAIL ADDRESS:
STREET 1: C/O LPL FINANCIAL
STREET 2: 4707 EXECUTIVE DRIVE
CITY: SAN DIEGO
STATE: CA
ZIP: 32121
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: LPL Financial Holdings Inc.
CENTRAL INDEX KEY: 0001397911
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200]
IRS NUMBER: 203717839
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 4707 EXECUTIVE DRIVE
CITY: SAN DIEGO
STATE: CA
ZIP: 92121
BUSINESS PHONE: 800-877-7210
MAIL ADDRESS:
STREET 1: 4707 EXECUTIVE DRIVE
CITY: SAN DIEGO
STATE: CA
ZIP: 92121
FORMER COMPANY:
FORMER CONFORMED NAME: LPL Investment Holdings Inc.
DATE OF NAME CHANGE: 20070427
4
1
wk-form4_1685997146.xml
FORM 4
X0407
4
2023-06-01
0
0001397911
LPL Financial Holdings Inc.
LPLA
0001179702
EBERHART PAULETT
C/O LPL FINANCIAL HOLDINGS INC.
4707 EXECUTIVE DRIVE
SAN DIEGO
CA
92121
1
0
0
0
0
Common Stock
2023-06-01
4
A
0
1
0
A
19974
D
Common Stock
2023-06-01
4
A
0
9
0
A
19983
D
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 8, 2024. 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 8, 2024. 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.
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.
The signatory is signing on behalf of Paulett Eberhart pursuant to a Power of Attorney dated November 21, 2014.
/s/ Gregory M. Woods, attorney-in-fact
2023-06-05