Form Type: 4

SEC EDGAR Link
Accession Number:0001397911-20-000136
Date:2020-06-12
Issuer: LPL FINANCIAL HOLDINGS INC. (LPLA)
Original Submission Date:

Reporting Person:

BERNARD EDWARD C
C/O LPL FINANCIAL HOLDINGS INC.
4707 EXECUTIVE DRIVE SAN DIEGO, CA 92121

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2020-06-12 A 8 a $0.00 9,223 direct
COMMON STOCK 2020-06-12 A 4 a $0.00 9,227 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 represents stock units granted under the issuer's amended and restated 2010 omnibus equity incentive plan (the "2010 plan"). each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on may 4, 2021. the reporting person was previously granted stock units that were subject to a written deferral election under the issuer's non-employee director deferred compensation plan (the "ddcp"), which stock units are scheduled to vest in full on may 4, 2021. the stock units reported hereby were credited to the reporting person's ddcp account in connection with a quarterly cash dividend that was paid on shares of common stock.
f2 represents stock units granted under the 2010 plan. each stock unit represents the right to receive one share of common stock and is fully vested. the reporting person was previously granted stock units that were subject to a written deferral election under the ddcp, which stock units are fully vested as of the date hereof. the stock units reported hereby were credited to the reporting person's ddcp account in connection with a quarterly cash dividend that was paid on shares of common stock.
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