0001397911-21-000041.txt : 20210225 0001397911-21-000041.hdr.sgml : 20210225 20210225174044 ACCESSION NUMBER: 0001397911-21-000041 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210223 FILED AS OF DATE: 20210225 DATE AS OF CHANGE: 20210225 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: 21682096 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_161429279617458.xml FORM 4 X0306 4 2021-02-23 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 2021-02-23 4 A 0 8144 0 A 28001.1482 D Common Stock 2021-02-23 4 F 0 3763 135.41 D 24238.1482 D Common Stock 2021-02-24 4 S 0 513 134.94 D 23725.1482 D Represents shares of Common Stock received upon vesting of performance share units ("PSUs") that were granted on February 23, 2018. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined comparator group over a three-year performance period ending December 31, 2020. Based on the Issuer's TSR relative to this peer group, PSUs were earned at 200% of the reporting person's target award. 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) 18,962.15 shares of Common Stock; (ii) 1,706 restricted stock units that vest ratably on each of February 25, 2021 and February 25, 2022; and (iii) 3,057 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 Michelle Oroschakoff pursuant to a Power of Attorney dated August 10, 2015. /s/ Gregory M. Woods, attorney-in-fact 2021-02-25