0001397911-20-000207.txt : 20201125 0001397911-20-000207.hdr.sgml : 20201125 20201125162755 ACCESSION NUMBER: 0001397911-20-000207 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201124 FILED AS OF DATE: 20201125 DATE AS OF CHANGE: 20201125 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Larsen Sallie R. CENTRAL INDEX KEY: 0001548541 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 201350957 MAIL ADDRESS: STREET 1: ONE BEACON STREET, 22ND FLOOR CITY: BOSTON STATE: MA ZIP: 02018 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_160633965875692.xml FORM 4 X0306 4 2020-11-24 0 0001397911 LPL Financial Holdings Inc. LPLA 0001548541 Larsen Sallie R. C/O LPL FINANCIAL HOLDINGS INC. 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121 0 1 0 0 Managing Director Common Stock 2020-11-24 4 M 0 5225 31.61 A 22680 D Common Stock 2020-11-24 4 S 0 5225 95 D 17455 D Option to purchase Common Stock 31.61 2020-11-24 4 M 0 5225 0 D 2022-05-30 Common Stock 5225.0 15815 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 September 10, 2020. The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 10, 2020. Consists of (i) 13,118 shares of Common Stock; (ii) 764 restricted stock units that vest in full on February 23, 2021; (iii) 1,296 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iv) 2,277 restricted stock units that vest ratably on each of February 25, 2021, February 25, 2022 and February 25, 2023. This option became exercisable in five installments, beginning May 30, 2013, which was the first anniversary of the date on which it was granted. The option became fully vested on May 30, 2017. The signatory is signing on behalf of Sallie R. Larsen pursuant to a Power of Attorney dated August 3, 2015. /s/ Gregory M. Woods, attorney-in-fact 2020-11-25