0001397911-21-000154.txt : 20210818 0001397911-21-000154.hdr.sgml : 20210818 20210818161914 ACCESSION NUMBER: 0001397911-21-000154 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210816 FILED AS OF DATE: 20210818 DATE AS OF CHANGE: 20210818 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Larsen Sallie R. CENTRAL INDEX KEY: 0001548541 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 211186886 MAIL ADDRESS: STREET 1: ONE BEACON STREET, 22ND FLOOR CITY: BOSTON STATE: MA ZIP: 02018 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_162931793896253.xml FORM 4 X0306 4 2021-08-16 0 0001397911 LPL Financial Holdings Inc. LPLA 0001548541 Larsen Sallie R. C/O LPL FINANCIAL HOLDINGS INC. 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121 0 1 0 0 Managing Director Common Stock 2021-08-16 4 S 0 8669 143.98 D 9462 D The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 14, 2021. Consists of (i) 5,265 shares of Common Stock; (ii) 648 restricted stock units that vest in full on February 25, 2022; (iii) 1,518 restricted stock units that vest ratably on each of February 25, 2022 and February 25, 2023; and (iv) 2,031 restricted stock units that vest ratably on each of February 25, 2022, February 25, 2023 and February 25, 2024. The signatory is signing on behalf of Sallie R. Larsen pursuant to a Power of Attorney dated August 3, 2015. /s/ Gregory M. Woods, attorney-in-fact 2021-08-18