0001397911-23-000040.txt : 20230228 0001397911-23-000040.hdr.sgml : 20230228 20230228184832 ACCESSION NUMBER: 0001397911-23-000040 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230225 FILED AS OF DATE: 20230228 DATE AS OF CHANGE: 20230228 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SEMERJIAN DAYTON CENTRAL INDEX KEY: 0001287252 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 23688558 MAIL ADDRESS: STREET 1: 600 NICKERSON RD. CITY: MARLBORO STATE: MA ZIP: 01752 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 wf-form4_167762808910844.xml FORM 4 X0306 4 2023-02-25 0 0001397911 LPL Financial Holdings Inc. LPLA 0001287252 SEMERJIAN DAYTON C/O LPL FINANCIAL HOLDINGS INC. 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121 0 1 0 0 Managing Director Common Stock 2023-02-25 4 A 0 11068 0 A 25441 D Common Stock 2023-02-25 4 F 0 6323 247.30 D 19118 D Represents shares of Common Stock received upon vesting of performance stock units ("PSUs") that were granted on February 25, 2020. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined comparator group over a three-year performance period ending December 31, 2022. Based on the Issuer's TSR relative to this peer group, PSUs were earned at 200% of the reporting person's target award. Consists of (i) 16,799 shares of Common Stock; (ii) 956 restricted stock units that vest in full on February 25, 2024; and (iii) 1,363 restricted stock units that vest ratably on each of February 25, 2024 and February 25, 2025. The signatory is signing on behalf of Dayton Semerjian pursuant to a Power of Attorney dated February 28, 2019. /s/ Gregory M. Woods, attorney-in-fact 2023-02-28