0001397911-20-000223.txt : 20201204
0001397911-20-000223.hdr.sgml : 20201204
20201204164911
ACCESSION NUMBER: 0001397911-20-000223
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201203
FILED AS OF DATE: 20201204
DATE AS OF CHANGE: 20201204
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: White George Burton
CENTRAL INDEX KEY: 0001548543
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 201370406
MAIL ADDRESS:
STREET 1: ONE BEACON STREET, 22ND FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02108
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_160711853739002.xml
FORM 4
X0306
4
2020-12-03
0
0001397911
LPL Financial Holdings Inc.
LPLA
0001548543
White George Burton
C/O LPL FINANCIAL HOLDINGS INC.
4707 EXECUTIVE DRIVE
SAN DIEGO
CA
92121
0
1
0
0
Managing Director
Common Stock
2020-12-03
4
M
0
860
34.61
A
31368
D
Option to purchase Common Stock
34.61
2020-12-03
4
M
0
860
0
D
2020-12-22
Common Stock
860.0
0
D
Consists of (i) 25,421 shares of Common Stock; (ii) 1,018 restricted stock units that vest in full on February 23, 2021; (iii) 1,978 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iv) 2,951 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 December 22, 2011, which was the first anniversary of the date on which it was granted. The option became fully vested on December 22, 2015.
The signatory is signing on behalf of George Burton White pursuant to a Power of Attorney dated August 11, 2015.
/s/ Gregory M. Woods, as attorney-in-fact
2020-12-04