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