0001397911-13-000048.txt : 20130514 0001397911-13-000048.hdr.sgml : 20130514 20130514171110 ACCESSION NUMBER: 0001397911-13-000048 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130513 FILED AS OF DATE: 20130514 DATE AS OF CHANGE: 20130514 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: MULCAHY ANNE M CENTRAL INDEX KEY: 0001201725 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 13842588 MAIL ADDRESS: STREET 1: 1000 NICOLLET MALL, TPS-3255 CITY: MINNEAPOLIS STATE: MN ZIP: 55403 4 1 wf-form4_136856585847392.xml FORM 4 X0306 4 2013-05-13 0 0001397911 LPL Financial Holdings Inc. LPLA 0001201725 MULCAHY ANNE M C/O LPL FINANCIAL HOLDINGS INC. 75 STATE STREET, 24TH FLOOR BOSTON MA 02109 1 0 0 0 Common Stock, par value $0.001 per share 2013-05-13 4 A 0 1370 0 A 1370 D These shares represent restricted stock that was granted under the Issuer's 2010 Omnibus Equity Incentive Plan. The restricted stock shall become fully vested on the second anniversary of the transaction date. /s/ Anne M. Mulcahy 2013-05-14