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