0001397911-23-000135.txt : 20230829 0001397911-23-000135.hdr.sgml : 20230829 20230829180402 ACCESSION NUMBER: 0001397911-23-000135 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230825 FILED AS OF DATE: 20230829 DATE AS OF CHANGE: 20230829 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Glavin William Francis Jr CENTRAL INDEX KEY: 0001298173 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 231223319 MAIL ADDRESS: STREET 1: 6803 SOUTH TUCSON WAY CITY: CENTENNIAL STATE: CO ZIP: 80112 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_1693346633.xml FORM 4 X0508 4 2023-08-25 0 0001397911 LPL Financial Holdings Inc. LPLA 0001298173 Glavin William Francis Jr C/O LPL FINANCIAL HOLDINGS INC. 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121 1 0 0 0 0 Common Stock 2023-08-25 4 A 0 1 0 A 21191 D Common Stock 2023-08-25 4 A 0 19 0 A 21210 D Common Stock 2775 I Held by Spouse's Trust Represents stock unit granted under the Issuer's 2021 Omnibus Equity Incentive Plan (the "2021 Plan"). The stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 8, 2024. 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 8, 2024. The stock unit reported hereby was 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 2021 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 William F. Glavin, Jr. pursuant to a Power of Attorney dated May 16, 2017. /s/ Gregory M. Woods, attorney-in-fact 2023-08-29