0001397911-20-000199.txt : 20201112
0001397911-20-000199.hdr.sgml : 20201112
20201112173446
ACCESSION NUMBER: 0001397911-20-000199
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201109
FILED AS OF DATE: 20201112
DATE AS OF CHANGE: 20201112
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: 201308194
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_160522047215716.xml
FORM 4
X0306
4
2020-11-09
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
2020-08-07
5
G
0
E
2000
0
D
27335
D
Common Stock
2020-11-09
4
S
0
100
84.07
D
27235
D
Common Stock
2020-11-09
4
S
0
1400
85.93
D
25835
D
Common Stock
2020-11-09
4
S
0
4600
86.90
D
21235
D
Common Stock
2020-11-09
4
S
0
3900
87.80
D
17335
D
Common Stock
2020-11-09
4
S
0
2300
88.92
D
15035
D
Common Stock
2020-11-09
4
S
0
200
89.48
D
14835
D
This transaction was a charitable gift of securities by the reporting person.
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 10, 2020.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $85.23 to $86.16, 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 $86.36 to $87.35, 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 $87.36 to $88.35, 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.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.41 to $89.35, 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 (6) 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 $89.44 to $89.52, 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 (7) to this Form 4.
Consists of (i) 5,559 shares of Common Stock; (ii) 1,709 restricted stock units that vest in full on February 23, 2021; (iii) 2,866 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iv) 4,701 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 Matthew J. Audette pursuant to a Power of Attorney dated September 30, 2015.
/s/ Gregory M. Woods, attorney-in-fact
2020-11-11