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