0000899243-23-008561.txt : 20230315 0000899243-23-008561.hdr.sgml : 20230315 20230315161934 ACCESSION NUMBER: 0000899243-23-008561 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230313 FILED AS OF DATE: 20230315 DATE AS OF CHANGE: 20230315 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCHIFTER RICHARD P CENTRAL INDEX KEY: 0001249554 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 23735458 MAIL ADDRESS: STREET 1: 301 COMMERCE STREET STREET 2: SUITE 3300 CITY: FORT WORTH STATE: TX ZIP: 76102 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 doc4.xml FORM 4 SUBMISSION X0306 4 2023-03-13 0 0001397911 LPL Financial Holdings Inc. LPLA 0001249554 SCHIFTER RICHARD P C/O TPG 301 COMMERCE STREET, SUITE 3300 FORT WORTH TX 76102 1 0 0 0 Common Stock 2023-03-13 4 J 0 11588 D 40768.8345 D Shares transferred in an asset swap in which the Common Stock was valued at $212.48 per share, based on the average of its high and low prices on Nasdaq on the date of transfer. The signatory is signing on behalf of Richard P. Schifter pursuant to a Power of Attorney dated March 28, 2017. /s/ Gregory M. Woods, attorney-in-fact 2023-03-15