0001397911-19-000141.txt : 20190910 0001397911-19-000141.hdr.sgml : 20190910 20190910181845 ACCESSION NUMBER: 0001397911-19-000141 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190907 FILED AS OF DATE: 20190910 DATE AS OF CHANGE: 20190910 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: 191086369 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_156815390887392.xml FORM 4 X0306 4 2019-09-07 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 2019-09-07 4 F 0 2606 76.90 D 29987 D Consists of (i) 4,929 shares of Common Stock; (ii) 22,608 restricted stock units that vest ratably on each of September 7, 2020, September 7, 2021 and September 7, 2022; and (iii) 2,450 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 Richard Steinmeier pursuant to a Power of Attorney dated August 21, 2018. /s/ Gregory M. Woods, attorney-in-fact 2019-09-10