0001397911-21-000053.txt : 20210301
0001397911-21-000053.hdr.sgml : 20210301
20210301193603
ACCESSION NUMBER: 0001397911-21-000053
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210225
FILED AS OF DATE: 20210301
DATE AS OF CHANGE: 20210301
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Fandrey Edward
CENTRAL INDEX KEY: 0001842672
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 21700527
MAIL ADDRESS:
STREET 1: C/O LPL FINANCIAL
STREET 2: 4707 EXECUTIVE DRIVE
CITY: SAN DIEGO
STATE: CA
ZIP: 92121
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_161464534723552.xml
FORM 4
X0306
4
2021-02-25
0
0001397911
LPL Financial Holdings Inc.
LPLA
0001842672
Fandrey Edward
C/O LPL FINANCIAL HOLDINGS INC.
4707 EXECUTIVE DRIVE
SAN DIEGO
CA
92121
0
1
0
0
Managing Director
Common Stock
2021-02-25
4
A
0
3603
0
A
3603
D
Common Stock
2021-02-25
4
A
0
24572
0
A
28175
D
These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2022, February 25, 2023, and February 25, 2024. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.
These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Common Stock on the applicable vesting date. These restricted stock units will vest in eight installments as follows: 14.40% of the total number of shares on each of May 25, 2021, August 25, 2021 and November 25, 2021; 7.95% of the total number of shares on each of February 25, 2022, May 25, 2022, August 25, 2022 and November 25, 2022; and 25.00% of the total number of shares on February 25, 2023, subject to the Reporting Person's continued employment by the Issuer on each such vesting date. Vested shares will be issued to the Reporting Person as soon as practicable after their vesting date.
The signatory is signing on behalf of Edward Fandrey pursuant to a Power of Attorney dated January 21, 2021,
/s/ Gregory M. Woods, attorney-in-fact
2021-03-01