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