0001209191-13-011747.txt : 20130226 0001209191-13-011747.hdr.sgml : 20130226 20130226172547 ACCESSION NUMBER: 0001209191-13-011747 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130222 FILED AS OF DATE: 20130226 DATE AS OF CHANGE: 20130226 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RIEPE JAMES S CENTRAL INDEX KEY: 0001203072 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 13643864 MAIL ADDRESS: STREET 1: GENWORTH FINANCIAL, INC. STREET 2: 6620 WEST BROAD STREET CITY: RICHMOND STATE: VA ZIP: 23230 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2013-02-22 0 0001397911 LPL Financial Holdings Inc. LPLA 0001203072 RIEPE JAMES S C/O LPL FINANCIAL HOLDINGS INC. 75 STATE STREET BOSTON MA 02109 1 0 0 0 Common Stock, par value $0.001 per share 2013-02-22 4 A 0 1582 0.00 A 47632 D Common Stock, par value $0.001 per share 35971 I By Stone Barn LLC 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. /s/ Stephanie L. Brown, as Attorney-in-Fact 2013-02-26