0001397911-23-000044.txt : 20230228
0001397911-23-000044.hdr.sgml : 20230228
20230228185747
ACCESSION NUMBER: 0001397911-23-000044
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230225
FILED AS OF DATE: 20230228
DATE AS OF CHANGE: 20230228
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Simonich Brent
CENTRAL INDEX KEY: 0001644152
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 23688606
MAIL ADDRESS:
STREET 1: C/O E*TRADE FINANCIAL CORP.
STREET 2: 11 TIMES SQUARE, 32ND FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10036-9992
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_167762864847173.xml
FORM 4
X0306
4
2023-02-25
0
0001397911
LPL Financial Holdings Inc.
LPLA
0001644152
Simonich Brent
C/O LPL FINANCIAL HOLDINGS INC.
4707 EXECUTIVE DRIVE
SAN DIEGO
CA
92121
0
1
0
0
Principal Accounting Officer
Common Stock
2023-02-25
4
F
0
355
247.30
D
5687
D
Common Stock
2023-02-25
4
A
0
1086
0
A
6773
D
These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2024, February 25, 2025, and February 25, 2026. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.
Consists of (i) 4,065 shares of Common Stock; (ii) 676 restricted stock units that vest in full on February 25, 2024; (iii) 946 restricted stock units that vest ratably on each of February 25, 2024 and February 25, 2025; and (iv) the restricted stock units reported on this Form 4.
The signatory is signing on behalf of Brent Simonich pursuant to a Power of Attorney dated February 9, 2021.
/s/ Gregory M. Woods, attorney-in-fact
2023-02-28