0001397911-21-000122.txt : 20210527 0001397911-21-000122.hdr.sgml : 20210527 20210527170845 ACCESSION NUMBER: 0001397911-21-000122 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210525 FILED AS OF DATE: 20210527 DATE AS OF CHANGE: 20210527 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: 21973971 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_162214963682295.xml FORM 4 X0306 4 2021-05-25 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 2021-05-25 4 F 0 1509 146.86 D 26666 D Consists of (i) 2,030 shares of Common Stock; (ii) 21,033 restricted stock units that vest in seven installments as follows: 3,539 restricted stock units on August 25, 2021 and November 25, 2021; 1,953 restricted stock units on February 25, 2022, May 25, 2022, August 25, 2022 and November 25, 2022; and 6,143 restricted stock units on February 25, 2023; and (iii) 3,603 restricted stock units that vest ratably on each of February 25, 2022, February 25, 2023 and February 25, 2024. 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 2021-05-27