0001397911-19-000045.txt : 20190315 0001397911-19-000045.hdr.sgml : 20190315 20190315210037 ACCESSION NUMBER: 0001397911-19-000045 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190314 FILED AS OF DATE: 20190315 DATE AS OF CHANGE: 20190315 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Oroschakoff Michelle CENTRAL INDEX KEY: 0001585874 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 19686541 MAIL ADDRESS: STREET 1: 75 STATE STREET, 24TH FLOOR CITY: BOSTON STATE: MA ZIP: 02109 FORMER NAME: FORMER CONFORMED NAME: Ososchakoff Michelle DATE OF NAME CHANGE: 20130905 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: 75 STATE STREET STREET 2: 22ND FLOOR CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 617 423 3644 MAIL ADDRESS: STREET 1: 75 STATE STREET STREET 2: 22ND FLOOR CITY: BOSTON STATE: MA ZIP: 02109 FORMER COMPANY: FORMER CONFORMED NAME: LPL Investment Holdings Inc. DATE OF NAME CHANGE: 20070427 4 1 wf-form4_155269802261454.xml FORM 4 X0306 4 2019-03-14 0 0001397911 LPL Financial Holdings Inc. LPLA 0001585874 Oroschakoff Michelle C/O LPL FINANCIAL HOLDINGS INC. 75 STATE STREET, 22ND FLOOR BOSTON MA 02109 0 1 0 0 Managing Director Common Stock 2019-03-14 4 S 0 1214 73.81 D 9563.1482 D The sale reported in this Form 4 was effected pursuant to Rule 10b5-1 trading plan adopted by the reporting person on June 5, 2018. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.58 to $73.93, 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 ranges set forth in this footnote (2) to this Form 4. Consists of (i) 3,755.1482 shares of Common Stock; (ii) 1,213 restricted stock units that vest in full on March 13, 2020; (iii) 2,036 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (iv) 2,559 restricted stock units that vest ratably on each of February 25, 2020, February 25, 2021 and February 25, 2022. The signatory is signing on behalf of Michelle Oroschakoff pursuant to a Power of Attorney dated August 10, 2015. /s/ Gregory M. Woods, attorney-in-fact 2019-03-15