0001397911-20-000044.txt : 20200227 0001397911-20-000044.hdr.sgml : 20200227 20200227203003 ACCESSION NUMBER: 0001397911-20-000044 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200225 FILED AS OF DATE: 20200227 DATE AS OF CHANGE: 20200227 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: 20665157 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: 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 wf-form4_158285338626112.xml FORM 4 X0306 4 2020-02-25 0 0001397911 LPL Financial Holdings Inc. LPLA 0001435098 Audette Matthew J C/O LPL FINANCIAL HOLDINGS INC. 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121 0 1 0 0 Chief Financial Officer Common Stock 2020-02-25 4 S 0 1095 87.78 D 16732 D Common Stock 2020-02-25 4 F 0 496 84.48 D 16236 D Common Stock 2020-02-25 4 A 0 4701 0 A 20937 D Common Stock 2020-02-26 4 S 0 937 84.86 D 20000 D 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. 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 February 25, 2021, February 25, 2022, and February 25, 2023. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. Consists of (i) 8,086 shares of Common Stock; (ii) 2,638 restricted stock units that vest in full on March 13, 2020; (iii) 1,709 restricted stock units that vest in full on February 23, 2021; (iv) 2,866 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (v) the restricted stock units reported on this Form 4. 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 2020-02-27