0001397911-20-000128.txt : 20200609
0001397911-20-000128.hdr.sgml : 20200609
20200609165348
ACCESSION NUMBER: 0001397911-20-000128
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200605
FILED AS OF DATE: 20200609
DATE AS OF CHANGE: 20200609
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Arnold Dan H.
CENTRAL INDEX KEY: 0001487487
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 20952566
MAIL ADDRESS:
STREET 1: C/O LPL INVESTMENT HOLDINGS INC.
STREET 2: ONE BEACON STREET
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_159173600501688.xml
FORM 4
X0306
4
2020-06-05
0
0001397911
LPL Financial Holdings Inc.
LPLA
0001487487
Arnold Dan H.
C/O LPL FINANCIAL HOLDINGS INC.
4707 EXECUTIVE DRIVE
SAN DIEGO
CA
92121
1
1
0
0
President & CEO
Common Stock
2020-06-05
4
S
0
19487
81.98
D
227671.94
D
Common Stock
2020-06-05
4
S
0
11647
82.62
D
216024.94
D
Common Stock
2020-06-05
4
S
0
2720
83.48
D
213304.94
D
Common Stock
2020-06-05
4
S
0
1146
84.62
D
212158.94
D
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 13, 2020.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $81.20 to $82.18, 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 (2) 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 $82.20 to $83.07, 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 $83.20 to $84.18, 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.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $84.30 to $84.91, 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 (5) to this Form 4.
Consists of (i) 171,738.94 shares of Common Stock; (ii) 25,873 restricted stock units that vest ratably on each of February 13, 2021 and February 13 2022; and (iii) 14,547 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023.
The signatory is signing on behalf of Dan H. Arnold pursuant to a Power of Attorney dated March 15, 2017.
/s/ Gregory M. Woods, attorney-in-fact
2020-06-09