0001397911-20-000166.txt : 20200814 0001397911-20-000166.hdr.sgml : 20200814 20200814171242 ACCESSION NUMBER: 0001397911-20-000166 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200812 FILED AS OF DATE: 20200814 DATE AS OF CHANGE: 20200814 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Oroschakoff Michelle CENTRAL INDEX KEY: 0001585874 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 201106532 MAIL ADDRESS: STREET 1: 75 STATE STREET, 24TH FLOOR CITY: BOSTON STATE: MA ZIP: 02109 FORMER NAME: FORMER CONFORMED NAME: Ososchakoff Michelle DATE OF NAME CHANGE: 20130905 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_159743948536338.xml FORM 4 X0306 4 2020-08-12 0 0001397911 LPL Financial Holdings Inc. LPLA 0001585874 Oroschakoff Michelle C/O LPL FINANCIAL HOLDINGS INC. 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121 0 1 0 0 Managing Director Common Stock 2020-08-12 4 M 0 4000 54.81 A 23857.1482 D Common Stock 2020-08-12 4 S 0 4000 84.33 D 19857.1482 D Option to purchase Common Stock 54.81 2020-08-12 4 M 0 4000 0 D 2024-02-24 Common Stock 4000.0 7802 D The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 11, 2020. The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 11, 2020. Consists of (i) 14,076.15 shares of Common Stock; (ii) 1,018 restricted stock units that vest in full on February 23, 2021; (iii) 1,706 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iv) 3,057 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023. This option became exercisable in three installments, beginning February 24, 2015, which was the first anniversary of the date on which it was granted. The option became fully vested on February 24, 2017. The signatory is signing on behalf of Michelle Oroschakoff pursuant to a Power of Attorney dated August 10, 2015. /s/ Gregory M. Woods, attorney-in-fact 2020-08-14