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