Form Type: 4

SEC EDGAR Link
Accession Number:0001397911-22-000084
Date:2022-05-19
Issuer: LPL FINANCIAL HOLDINGS INC. (LPLA)
Original Submission Date:

Reporting Person:

MNOOKIN ALLISON
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 2022-05-19 A 814 a $0.00 8,896 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 2021 omnibus equity incentive plan. each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on may 10, 2023. these stock units are subject to a written deferral election under the issuer's non-employee director deferred compensation plan pursuant to which the reporting person elected to defer receipt of the equity portion of the annual retainer under the issuer's non-employee director compensation policy.
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