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