0001397911-23-000166.txt : 20231114 0001397911-23-000166.hdr.sgml : 20231114 20231114165928 ACCESSION NUMBER: 0001397911-23-000166 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231109 FILED AS OF DATE: 20231114 DATE AS OF CHANGE: 20231114 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Arnold Dan H. CENTRAL INDEX KEY: 0001487487 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 231407648 MAIL ADDRESS: STREET 1: C/O LPL INVESTMENT HOLDINGS INC. STREET 2: ONE BEACON STREET 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 wk-form4_1699999148.xml FORM 4 X0508 4 2023-11-09 0 0001397911 LPL Financial Holdings Inc. LPLA 0001487487 Arnold Dan H. C/O LPL FINANCIAL HOLDINGS INC. 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121 1 1 0 0 President & CEO 0 Common Stock 2023-11-09 4 G 0 4440 0 D 141443.94 D This transaction was a charitable gift of securities by the reporting person. Consists of (i) 117,045.94 shares of Common Stock; (ii) 4,915 restricted stock units that vest in full on February 25, 2024; (iii) 7,837 restricted stock units that vest ratably on each of February 25, 2024 and February 25, 2025; and (iv) 11,646 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 Dan H. Arnold pursuant to a Power of Attorney dated March 15, 2017. /s/ Gregory M. Woods, attorney-in-fact 2023-11-14