0001397911-20-000086.txt : 20200402
0001397911-20-000086.hdr.sgml : 20200402
20200402170304
ACCESSION NUMBER: 0001397911-20-000086
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200331
FILED AS OF DATE: 20200402
DATE AS OF CHANGE: 20200402
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RIEPE JAMES S
CENTRAL INDEX KEY: 0001203072
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 20770019
MAIL ADDRESS:
STREET 1: GENWORTH FINANCIAL, INC.
STREET 2: 6620 WEST BROAD STREET
CITY: RICHMOND
STATE: VA
ZIP: 23230
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
wf-form4_158586136655975.xml
FORM 4
X0306
4
2020-03-31
0
0001397911
LPL Financial Holdings Inc.
LPLA
0001203072
RIEPE JAMES S
C/O LPL FINANCIAL HOLDINGS INC.
4707 EXECUTIVE DRIVE
SAN DIEGO
CA
92121
1
0
0
0
Common Stock
2020-03-31
4
A
0
9
0
A
95214
D
Common Stock
2020-03-31
4
A
0
44
0
A
95258
D
Common Stock
35971
I
By Stone Barn LLC
Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan (the "2010 Plan"). Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 5, 2020. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are scheduled to vest in full on May 5, 2020. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.
Represents stock units granted under the 2010 Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the DDCP, which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.
The signatory is signing on behalf of James S. Riepe pursuant to a Power of Attorney dated March 10, 2014.
/s/ Gregory M. Woods, attorney-in-fact
2020-04-02