0001397911-18-000182.txt : 20180911 0001397911-18-000182.hdr.sgml : 20180911 20180911201650 ACCESSION NUMBER: 0001397911-18-000182 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180907 FILED AS OF DATE: 20180911 DATE AS OF CHANGE: 20180911 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Steinmeier Richard CENTRAL INDEX KEY: 0001750576 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 181065834 MAIL ADDRESS: STREET 1: C/O LPL FINANCIAL HOLDINGS, INC. STREET 2: 75 STATE STREET, 22ND FLOOR CITY: BOSTON STATE: MA ZIP: 02109 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: 75 STATE STREET STREET 2: 22ND FLOOR CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 617 423 3644 MAIL ADDRESS: STREET 1: 75 STATE STREET STREET 2: 22ND FLOOR CITY: BOSTON STATE: MA ZIP: 02109 FORMER COMPANY: FORMER CONFORMED NAME: LPL Investment Holdings Inc. DATE OF NAME CHANGE: 20070427 4 1 wf-form4_153671139413501.xml FORM 4 X0306 4 2018-09-07 0 0001397911 LPL Financial Holdings Inc. LPLA 0001750576 Steinmeier Richard C/O LPL FINANCIAL HOLDINGS INC. 75 STATE STREET, 22ND FLOOR BOSTON MA 02109 0 1 0 0 Managing Director Common Stock 2018-09-07 4 A 0 30143 0 A 30143 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 September 7, 2019, September 7, 2020, September 7, 2021 and September 7, 2022. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. The signatory is signing on behalf of Richard Steinmeier pursuant to a Power of Attorney dated August 21, 2018, which is filed as Exhibit 24.1 to this filing. /s/ Gregory M. Woods, attorney-in-fact 2018-09-11 EX-24 2 ex-24.htm POA, RICHARD STEINMEIER

SECTION 16 POWER OF ATTORNEY

I hereby constitute and appoint Gregory M. Woods my true and lawful attorney-in-fact to:

(1)    execute on my behalf any Form 3  Initial Statement of Beneficial Ownership of Securities,  Form 4  Statement of Changes of Beneficial Ownership of Securities or Form 5  Annual Statement of Beneficial Ownership of Securities, including any amendments, supplements or exhibits thereto (each, a "Section 16 Report"), which I am required to file in my capacity as an officer of LPL Financial Holdings Inc. (the "Company") in accordance with Section 16(a) of the Securities Exchange Act of 1934, as amended (the "Act") and the rules thereunder;

(2)    do and perform any and all acts for and on my behalf that may be necessary or desirable to complete and execute any Section 16 Report and timely file such report with the United States Securities and Exchange Commission and any stock exchange or similar authority;

(3)    seek or obtain, as my representative and on my behalf, information on transactions in the Company's securities from any third party, including brokers, employee benefit plan administrators and trustees, and I hereby authorize any such third party to release any such information to my attorney-in-fact appointed by this Power of Attorney; and

(4)    take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be to my benefit, in my best interest, or that I am legally required to do, it being understood that the documents executed by such attorney-in-fact on my behalf pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact's discretion.

I hereby grant to my attorney-in-fact hereunder full power and authority to do and perform any and every act and thing whatsoever necessary or desirable to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as I might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this Power of Attorney and the rights and powers herein granted.

I acknowledge that this Power of Attorney does not relieve me of my responsibilities to comply with Section 16 of the Act and my attorney-in-fact, in serving in such capacity at my request, is not assuming, nor is the Company assuming, any of my responsibilities to comply with Section 16 of the Act.

This Power of Attorney shall remain in full force and effect until I am no longer required to file Section 16 Reports with respect to my holdings of and transactions in Company securities, unless I earlier revoke it in a signed writing delivered to my attorney-in-fact.

IN WITNESS WHEREOF, I have caused this Power of Attorney to be executed as of this 21 day of August, 2018.

By: /s/ Richard Steinmeier