0000899243-22-017447.txt : 20220510 0000899243-22-017447.hdr.sgml : 20220510 20220510163843 ACCESSION NUMBER: 0000899243-22-017447 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220506 FILED AS OF DATE: 20220510 DATE AS OF CHANGE: 20220510 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sethi Kabir CENTRAL INDEX KEY: 0001927665 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 22910417 MAIL ADDRESS: STREET 1: C/O LPL FINANCIAL STREET 2: 4707 EXECUTIVE DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92121 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 2022-05-06 0 0001397911 LPL Financial Holdings Inc. LPLA 0001927665 Sethi Kabir C/O LPL FINANCIAL HOLDINGS INC. 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121 0 1 0 0 Managing Director Common Stock 2022-05-06 4 A 0 12108 0.00 A 12108 D These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Common Stock on the applicable vesting date. These restricted stock units will vest ratably on each of May 6, 2023, May 6, 2024, and May 6, 2025. Vested shares will be issued to the Reporting Person as soon as practicable after the vesting date. The signatory is signing on behalf of Kabir Sethi pursuant to a Power of Attorney dated May 2, 2022. By: /s/ Gregory M. Woods, attorney-in-fact 2022-05-10