0001397911-20-000048.txt : 20200227
0001397911-20-000048.hdr.sgml : 20200227
20200227204609
ACCESSION NUMBER: 0001397911-20-000048
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: Kalbaugh John Andrew
CENTRAL INDEX KEY: 0001548546
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 20665180
MAIL ADDRESS:
STREET 1: ONE BEACON STREET, 22ND FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02108
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_158285435219676.xml
FORM 4
X0306
4
2020-02-25
0
0001397911
LPL Financial Holdings Inc.
LPLA
0001548546
Kalbaugh John Andrew
C/O LPL FINANCIAL HOLDINGS INC.
4707 EXECUTIVE DRIVE
SAN DIEGO
CA
92121
0
1
0
0
Managing Director
Common Stock
2020-02-25
4
S
0
528
87.78
D
28951
D
Common Stock
2020-02-25
4
F
0
360
84.48
D
28591
D
Common Stock
2020-02-25
4
A
0
2521
0
A
31112
D
Common Stock
2020-02-26
4
S
0
456
84.86
D
30656
D
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 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) 24,165 shares of Common Stock; (ii) 1,397 restricted stock units that vest in full on March 13, 2020; (iii) 941 restricted stock units that vest in full on February 23, 2021; (iv) 1,632 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 John Andrew Kalbaugh pursuant to a Power of Attorney dated August 3, 2015.
/s/ Gregory M. Woods, attorney-in-fact
2020-02-27