0001397911-23-000093.txt : 20230516
0001397911-23-000093.hdr.sgml : 20230516
20230516160656
ACCESSION NUMBER: 0001397911-23-000093
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230512
FILED AS OF DATE: 20230516
DATE AS OF CHANGE: 20230516
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Putnam James S
CENTRAL INDEX KEY: 0001405298
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 23927504
MAIL ADDRESS:
STREET 1: ONE BEACON STREET
STREET 2: SUITE 21
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
4
1
wf-form4_168426759990112.xml
FORM 4
X0407
4
2023-05-12
0
0001397911
LPL Financial Holdings Inc.
LPLA
0001405298
Putnam James S
C/O LPL FINANCIAL HOLDINGS INC.
4707 EXECUTIVE DRIVE
SAN DIEGO
CA
92121
1
0
0
0
0
Common Stock
2023-05-12
4
A
0
784
0
A
134729.50
D
Common Stock
2023-05-12
4
A
0
506
0
A
135235.50
D
Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan pursuant to which the reporting person elected to defer receipt of the equity portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy (the "Policy").
The reporting person elected to receive these shares, which were granted under the 2021 Plan, in lieu of the cash portion of the annual retainer under the Policy.
The signatory is signing on behalf of James S. Putnam pursuant to a Power of Attorney dated March 9, 2014.
/s/ Gregory M. Woods, attorney-in-fact
2023-05-16