0001397911-23-000151.txt : 20230915
0001397911-23-000151.hdr.sgml : 20230915
20230915161519
ACCESSION NUMBER: 0001397911-23-000151
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230913
FILED AS OF DATE: 20230915
DATE AS OF CHANGE: 20230915
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Steinmeier Richard
CENTRAL INDEX KEY: 0001750576
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 231258924
MAIL ADDRESS:
STREET 1: C/O LPL FINANCIAL HOLDINGS, INC.
STREET 2: 75 STATE STREET, 22ND FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02109
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_1694808907.xml
FORM 4
X0508
4
2023-09-13
0
0001397911
LPL Financial Holdings Inc.
LPLA
0001750576
Steinmeier Richard
C/O LPL FINANCIAL HOLDINGS INC.
4707 EXECUTIVE DRIVE
SAN DIEGO
CA
92121
0
1
0
0
Managing Director
1
Common Stock
2023-09-13
4
S
0
3666
242.07
D
23548
D
Common Stock
2023-09-13
4
S
0
5334
242.77
D
18214
D
Common Stock
2023-09-13
4
S
0
1200
243.99
D
17014
D
Common Stock
2023-09-13
4
S
0
100
244.65
D
16914
D
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2023.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $241.42 to $242.41, 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 $242.43 to $243.36, 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 $243.56 to $244.22, 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) 11,896 shares of Common Stock; (ii) 1,420 restricted stock units that vest in full on February 25, 2024; (iii) 1,742 restricted stock units that vest ratably on each of February 25, 2024 and February 25, 2025; and (iv) 1,856 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 Richard Steinmeier pursuant to a Power of Attorney dated August 21, 2018.
/s/ Gregory M. Woods, attorney-in-fact
2023-09-15