0001397911-19-000121.txt : 20190807
0001397911-19-000121.hdr.sgml : 20190807
20190807163945
ACCESSION NUMBER: 0001397911-19-000121
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190805
FILED AS OF DATE: 20190807
DATE AS OF CHANGE: 20190807
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Audette Matthew J
CENTRAL INDEX KEY: 0001435098
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 191006065
MAIL ADDRESS:
STREET 1: C/O DAVIS POLK & WARDWELL
STREET 2: 450 LEXINGTON AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10017
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_156521036350094.xml
FORM 4
X0306
4
2019-08-05
0
0001397911
LPL Financial Holdings Inc.
LPLA
0001435098
Audette Matthew J
C/O LPL FINANCIAL HOLDINGS INC.
75 STATE STREET, 22ND FLOOR
BOSTON
MA
02109
0
1
0
0
Chief Financial Officer
Common Stock
2019-05-17
5
G
0
E
2000
0
D
30943
D
Common Stock
2019-08-05
4
S
0
8813
76.49
D
22130
D
Common Stock
2019-08-05
4
S
0
3687
77.11
D
18443
D
This transaction was a charitable gift of securities by the reporting person.
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 3, 2019.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.97 to $76.94, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.98 to $77.49, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.
Consists of (i) 8,086 shares of Common Stock; (ii) 2,638 restricted stock units that vest in full on March 13, 2020; (iii) 3,420 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (iv) 4,299 restricted stock units that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022.
The signatory is signing on behalf of Matthew J. Audette pursuant to a Power of Attorney dated September 30, 2015.
/s/ Gregory M. Woods, attorney-in-fact
2019-08-07