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