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