0001397911-23-000113.txt : 20230607 0001397911-23-000113.hdr.sgml : 20230607 20230607162456 ACCESSION NUMBER: 0001397911-23-000113 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230605 FILED AS OF DATE: 20230607 DATE AS OF CHANGE: 20230607 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gates Greg CENTRAL INDEX KEY: 0001877100 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 23999300 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 wk-form4_1686169486.xml FORM 4 X0407 4 2023-06-05 0 0001397911 LPL Financial Holdings Inc. LPLA 0001877100 Gates Greg C/O LPL FINANCIAL 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121 0 1 0 0 Managing Director 0 Common Stock 2023-06-05 4 F 0 688 199.99 D 23849 D Consists of (i) 19,959 shares of Common Stock; (ii) 990 restricted stock units that vest in full on February 25, 2024; (iii) 1,372 restricted stock units that vest ratably on each of February 25, 2024 and February 25, 2025; and (iv) 1,528 restricted stock units that vest ratably on each of February 25, 2024, February 25, 2025 and February 25, 2026. The signatory is signing on behalf of Greg Gates pursuant to a Power of Attorney dated August 2, 2021. /s/ Gregory M. Woods, attorney-in-fact 2023-06-07