0001397911-23-000162.txt : 20231106 0001397911-23-000162.hdr.sgml : 20231106 20231106164728 ACCESSION NUMBER: 0001397911-23-000162 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231102 FILED AS OF DATE: 20231106 DATE AS OF CHANGE: 20231106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Jambusaria Aneri CENTRAL INDEX KEY: 0001966430 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 231380526 MAIL ADDRESS: STREET 1: C/O LPL FINANCIAL HOLDINGS INC. 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_1699307238.xml FORM 4 X0508 4 2023-11-02 0 0001397911 LPL Financial Holdings Inc. LPLA 0001966430 Jambusaria Aneri C/O LPL FINANCIAL HOLDINGS INC. 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121 0 1 0 0 Managing Director 0 Common Stock 2023-11-02 4 S 0 1930 222.37 D 1802 D The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $222.11 to $222.40, 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 (1) to this Form 4. Consists of (i) 430 restricted stock units that vest in full on February 25, 2024; (ii) 596 restricted stock units that vest ratably on each of February 25, 2024 and February 25, 2025; and (iii) 776 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 Aneri Jambusaria pursuant to a Power of Attorney dated February 15, 2023. /s/ Gregory M. Woods, attorney-in-fact 2023-11-06