0001209191-12-052800.txt : 20121113 0001209191-12-052800.hdr.sgml : 20121112 20121113162407 ACCESSION NUMBER: 0001209191-12-052800 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121108 FILED AS OF DATE: 20121113 DATE AS OF CHANGE: 20121113 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: 75 STATE STREET STREET 2: 24TH FLOOR CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 617 423 3644 MAIL ADDRESS: STREET 1: 75 STATE STREET STREET 2: 24TH FLOOR CITY: BOSTON STATE: MA ZIP: 02109 FORMER COMPANY: FORMER CONFORMED NAME: LPL Investment Holdings Inc. DATE OF NAME CHANGE: 20070427 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STIEFLER JEFFREY E CENTRAL INDEX KEY: 0001227965 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 121199050 MAIL ADDRESS: STREET 1: C/O INTUIT INC. STREET 2: 2700 COAST AVENUE CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2012-11-08 0 0001397911 LPL Financial Holdings Inc. LPLA 0001227965 STIEFLER JEFFREY E C/O LPL FINANCIAL HOLDINGS INC. 75 STATE STREET BOSTON MA 02109 1 0 0 0 Common Stock, par value $0.001 per share 2012-11-08 4 A 0 1785 0.00 A 7943 D Common Stock, par value $0.001 per share 74078 I By Stiefler Trust U/T/D 5/31/2007 These shares represent restricted stock that was granted under the Issuer's 2010 Omnibus Equity Incentive Plan. This restricted stock shall be fully vested on the second anniversary of the transaction date. Reflects 6,158 shares of restricted stock previously reported as held indirectly by the reporting person's trust. /s/ Stephanie L. Brown, as Attorney-in-Fact 2012-11-13