0001397911-21-000059.txt : 20210301
0001397911-21-000059.hdr.sgml : 20210301
20210301195445
ACCESSION NUMBER: 0001397911-21-000059
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: Oroschakoff Michelle
CENTRAL INDEX KEY: 0001585874
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 21700597
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_161464646018980.xml
FORM 4
X0306
4
2021-02-25
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
2021-02-25
4
F
0
929
132.10
D
22796.1482
D
Common Stock
2021-02-25
4
A
0
2539
0
A
25335.1482
D
Common Stock
2021-02-26
4
S
0
943
130.23
D
24392.1482
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.
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) 853 restricted stock units that vest in full on February 25, 2022; (iii) 2,038 restricted stock units that vest ratably on each of February 25, 2022 and February 25, 2023; and (iv) the restricted stock units reported on this Form 4.
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
2021-03-01