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