0001397911-23-000019.txt : 20230221
0001397911-23-000019.hdr.sgml : 20230221
20230221164706
ACCESSION NUMBER: 0001397911-23-000019
CONFORMED SUBMISSION TYPE: 5
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20221231
FILED AS OF DATE: 20230221
DATE AS OF CHANGE: 20230221
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Arnold Dan H.
CENTRAL INDEX KEY: 0001487487
FILING VALUES:
FORM TYPE: 5
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 23648907
MAIL ADDRESS:
STREET 1: C/O LPL INVESTMENT HOLDINGS INC.
STREET 2: ONE BEACON STREET
CITY: BOSTON
STATE: MA
ZIP: 02108
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
5
1
wf-form5_167701596344593.xml
FORM 5
X0306
5
2022-12-31
0
0
0
0001397911
LPL Financial Holdings Inc.
LPLA
0001487487
Arnold Dan H.
C/O LPL FINANCIAL HOLDINGS INC.
4707 EXECUTIVE DRIVE
SAN DIEGO
CA
92121
1
1
0
0
President & CEO
Common Stock
2022-10-06
5
G
0
4510
0
D
153312.94
D
This transaction was a charitable gift of securities by the reporting person.
Consists of (i) 126,879.94 shares of Common Stock; (ii) 4,849 restricted stock units that vest in full on February 25, 2023; (iii) 9,829 restricted stock units that vest ratably on each of February 25, 2023 and February 25, 2024; and (iv) 11,755 restricted stock units that vest ratably on each of February 25, 2023, February 25, 2024 and February 25, 2025.
The signatory is signing on behalf of Dan H. Arnold pursuant to a Power of Attorney dated March 15, 2017.
/s/ Gregory M. Woods, attorney-in-fact
2023-02-21