0001397911-24-000015.txt : 20240222 0001397911-24-000015.hdr.sgml : 20240222 20240222171732 ACCESSION NUMBER: 0001397911-24-000015 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240220 FILED AS OF DATE: 20240222 DATE AS OF CHANGE: 20240222 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Enyedi Matthew CENTRAL INDEX KEY: 0001798805 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 24666141 MAIL ADDRESS: STREET 1: C/O LPL FINANCIAL HOLDINGS, INC. STREET 2: 75 STATE STREET, 22ND FLOOR CITY: BOSTON STATE: MA ZIP: 02109 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LPL Financial Holdings Inc. CENTRAL INDEX KEY: 0001397911 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200] ORGANIZATION NAME: 02 Finance 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 wk-form4_1708640223.xml FORM 4 X0508 4 2024-02-20 0 0001397911 LPL Financial Holdings Inc. LPLA 0001798805 Enyedi Matthew C/O LPL FINANCIAL HOLDINGS INC. 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121 0 1 0 0 Managing Director 1 Common Stock 2024-02-20 4 M 0 1381 45.55 A 10015 D Common Stock 2024-02-20 4 S 0 1381 256.94 D 8634 D Option to purchase Common Stock 45.55 2024-02-20 4 M 0 1381 0 D 2018-03-06 2025-03-06 Common Stock 1381 0 D The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 20, 2023. The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 20, 2023. Consists of (i) 5,484 shares of Common Stock; (ii) 655 restricted stock units that vest in full on February 25, 2024; (iii) 1,014 restricted stock units that vest ratably on each of February 25, 2024 and February 25, 2025; and (iv) 1,481 restricted stock units that vest ratably on each of February 25, 2024, February 25, 2025 and February 25, 2026. This option became exercisable in full on the third anniversary of the date on which it was granted. The signatory is signing on behalf of Matthew Enyedi pursuant to a Power of Attorney dated December 31, 2019. /s/ Gregory M. Woods, attorney-in-fact 2024-02-22