0001397911-24-000027.txt : 20240227 0001397911-24-000027.hdr.sgml : 20240227 20240227195731 ACCESSION NUMBER: 0001397911-24-000027 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240225 FILED AS OF DATE: 20240227 DATE AS OF CHANGE: 20240227 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Jambusaria Aneri CENTRAL INDEX KEY: 0001966430 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 24689493 MAIL ADDRESS: STREET 1: C/O LPL FINANCIAL HOLDINGS INC. STREET 2: 4707 EXECUTIVE DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92121 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_1709081840.xml FORM 4 X0508 4 2024-02-25 0 0001397911 LPL Financial Holdings Inc. LPLA 0001966430 Jambusaria Aneri C/O LPL FINANCIAL HOLDINGS INC. 4707 EXECUTIVE DRIVE SAN DIEGO CA 92121 0 1 0 0 Managing Director 0 Common Stock 2024-02-25 4 A 0 2580 0 A 4382 D Common Stock 2024-02-25 4 F 0 1295 263.36 D 3087 D Common Stock 2024-02-25 4 A 0 1138 0 A 4225 D Represents shares of Common Stock received upon vesting of performance stock units ("PSUs") that were granted on February 25, 2021. The granted PSUs were eligible to become earned PSUs based on the Issuer's total stockholder return ("TSR") relative to the TSR of a predetermined comparator group over a three-year performance period ending December 31, 2023. Based on the Issuer's TSR relative to this peer group, PSUs were earned at 200% of the reporting person's target award. 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, 2025, February 25, 2026 and February 25, 2027. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. Consists of (i) 2,271 shares of Common Stock; (ii) 298 restricted stock units that vest in full on February 25, 2025; (iii) 518 restricted stock units that vest ratably on each of February 25, 2025 and February 25, 2026; and (iv) the restricted stock units reported on this Form 4. The signatory is signing on behalf of Aneri Jambusaria pursuant to a Power of Attorney dated February 15, 2023. /s/ Gregory M. Woods, attorney-in-fact 2024-02-27