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