0001397911-21-000154.txt : 20210818
0001397911-21-000154.hdr.sgml : 20210818
20210818161914
ACCESSION NUMBER: 0001397911-21-000154
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210816
FILED AS OF DATE: 20210818
DATE AS OF CHANGE: 20210818
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Larsen Sallie R.
CENTRAL INDEX KEY: 0001548541
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 211186886
MAIL ADDRESS:
STREET 1: ONE BEACON STREET, 22ND FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02018
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_162931793896253.xml
FORM 4
X0306
4
2021-08-16
0
0001397911
LPL Financial Holdings Inc.
LPLA
0001548541
Larsen Sallie R.
C/O LPL FINANCIAL HOLDINGS INC.
4707 EXECUTIVE DRIVE
SAN DIEGO
CA
92121
0
1
0
0
Managing Director
Common Stock
2021-08-16
4
S
0
8669
143.98
D
9462
D
The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2021.
Consists of (i) 5,265 shares of Common Stock; (ii) 648 restricted stock units that vest in full on February 25, 2022; (iii) 1,518 restricted stock units that vest ratably on each of February 25, 2022 and February 25, 2023; and (iv) 2,031 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 Sallie R. Larsen pursuant to a Power of Attorney dated August 3, 2015.
/s/ Gregory M. Woods, attorney-in-fact
2021-08-18