0001397911-22-000026.txt : 20220301
0001397911-22-000026.hdr.sgml : 20220301
20220301175731
ACCESSION NUMBER: 0001397911-22-000026
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220225
FILED AS OF DATE: 20220301
DATE AS OF CHANGE: 20220301
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: 22700117
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_164617540450846.xml
FORM 4
X0306
4
2022-02-25
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
2022-02-25
4
F
0
1114
182.73
D
16544
D
Common Stock
2022-02-28
4
S
0
420
179.67
D
16124
D
Common Stock
2022-02-28
4
S
0
205
180.51
D
15919
D
Common Stock
2022-02-28
4
S
0
630
181.75
D
15289
D
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2021.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $179.18 to $180.04, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $180.30 to $180.96, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $181.33 to $182.22, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.
Consists of (i) 885 shares of Common Stock; (ii) 12,002 restricted stock units that vest in four installments as follows: 1,953 restricted stock units on each of May 25, 2022, August 25, 2022 and November 25, 2022; and 6,143 restricted stock units on February 25, 2023; and (iii) 2,402 restricted stock units that vest ratably on each of 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
2022-03-01