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