0001397911-20-000203.txt : 20201113
0001397911-20-000203.hdr.sgml : 20201113
20201113191456
ACCESSION NUMBER: 0001397911-20-000203
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201112
FILED AS OF DATE: 20201113
DATE AS OF CHANGE: 20201113
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: 201313190
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_160531288221990.xml
FORM 4
X0306
4
2020-11-12
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
2020-11-12
4
M
0
4000
54.81
A
23857.1482
D
Common Stock
2020-11-12
4
S
0
4000
86.79
D
19857.1482
D
Option to purchase Common Stock
54.81
2020-11-12
4
M
0
4000
0
D
2024-02-24
Common Stock
4000.0
3802
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
2020-11-13