0001397911-24-000073.txt : 20240514 0001397911-24-000073.hdr.sgml : 20240514 20240514164959 ACCESSION NUMBER: 0001397911-24-000073 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240510 FILED AS OF DATE: 20240514 DATE AS OF CHANGE: 20240514 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCHIFTER RICHARD P CENTRAL INDEX KEY: 0001249554 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 24945328 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] ORGANIZATION NAME: 02 Finance 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_1715719786.xml FORM 4 X0508 4 2024-05-10 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 0 Common Stock 2024-05-10 4 A 0 699 0 A 41267.8345 D Common Stock 2024-05-10 4 A 0 378 0 A 41645.8345 D Common Stock 148 I By Co-Trustee of Grandchild's Trust #1 Common Stock 148 I By Co-Trustee of Grandchild's Trust #2 Common Stock 148 I By Co-Trustee of Grandchild's Trust #3 Common Stock 148 I By Co-Trustee of Grandchild's Trust #4 Common Stock 148 I By Co-Trustee of Grandchild's Trust #5 Common Stock 148 I By Co-Trustee of Grandchild's Trust #6 Common Stock 148 I By Co-Trustee of Grandchild's Trust #7 Common Stock 148 I By Co-Trustee of Grandchild's Trust #8 Common Stock 148 I By Co-Trustee of Grandchild's Trust #9 Common Stock 148 I By Co-Trustee of Grandchild's Trust #10 Common Stock 148 I By Co-Trustee of Grandchild's Trust #11 These shares represent restricted stock that was granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan") pursuant to the Issuer's Non-Employee Director Compensation Policy (the "Policy"). This restricted stock is scheduled to vest in full on May 21, 2025. The reporting person elected to receive these shares, which were granted under the 2021 Plan, in lieu of the cash portion of the annual retainer under the Policy. The reporting person previously transferred 1,628 shares of LPLA common stock to eleven trusts for the reporting person's grandchildren. The reporting person is a co-trustee of the trusts, and each of the reporting person's grandchildren is the sole beneficiary of their respective trust. The reporting person remains the beneficial owner of the securities held by the trusts. 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 2024-05-14