0001397911-20-000110.txt : 20200511 0001397911-20-000110.hdr.sgml : 20200511 20200511181617 ACCESSION NUMBER: 0001397911-20-000110 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200507 FILED AS OF DATE: 20200511 DATE AS OF CHANGE: 20200511 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Glavin William Francis Jr CENTRAL INDEX KEY: 0001298173 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 20866401 MAIL ADDRESS: STREET 1: 6803 SOUTH TUCSON WAY CITY: CENTENNIAL STATE: CO ZIP: 80112 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_158923536016942.xml FORM 4 X0306 4 2020-05-07 0 0001397911 LPL Financial Holdings Inc. LPLA 0001298173 Glavin William Francis Jr C/O LPL FINANCIAL HOLDINGS INC. 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121 1 0 0 0 Common Stock 2020-05-07 4 A 0 2780 0 A 15180 D Common Stock 2020-05-07 4 A 0 1435 0 A 16615 D Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan (the "2010 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 4, 2021. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP") pursuant to which the reporting person elected to defer receipt of the equity portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy (the "Policy"). Represents stock units granted under the 2010 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. These stock units are subject to a written deferral election under the DDCP pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the Policy. The signatory is signing on behalf of William F. Glavin, Jr. pursuant to a Power of Attorney dated May 16, 2017. /s/ Gregory M. Woods, attorney-in-fact 2020-05-11