0001397911-20-000201.txt : 20201112 0001397911-20-000201.hdr.sgml : 20201112 20201112173850 ACCESSION NUMBER: 0001397911-20-000201 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: Steinmeier Richard CENTRAL INDEX KEY: 0001750576 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 201308232 MAIL ADDRESS: STREET 1: C/O LPL FINANCIAL HOLDINGS, INC. STREET 2: 75 STATE STREET, 22ND FLOOR CITY: BOSTON STATE: MA ZIP: 02109 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_160522071422260.xml FORM 4 X0306 4 2020-11-09 0 0001397911 LPL Financial Holdings Inc. LPLA 0001750576 Steinmeier Richard C/O LPL FINANCIAL HOLDINGS INC. 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121 0 1 0 0 Managing Director Common Stock 2020-11-09 4 S 0 3984 86 D 20837 D The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2020. Consists of (i) 15,072 restricted stock units that vest ratably on each of September 7, 2021 and September 7, 2022; (ii) 1,633 restricted stock units that vest ratably on each of February 25,2021 and February 25, 2022; and (iii) 4,132 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 Richard Steinmeier pursuant to a Power of Attorney dated August 21, 2018. /s/ Gregory M. Woods, attorney-in-fact 2020-11-11