0001397911-13-000097.txt : 20131121
0001397911-13-000097.hdr.sgml : 20131121
20131121164925
ACCESSION NUMBER: 0001397911-13-000097
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20131119
FILED AS OF DATE: 20131121
DATE AS OF CHANGE: 20131121
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: Putnam James S
CENTRAL INDEX KEY: 0001405298
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 131235885
MAIL ADDRESS:
STREET 1: ONE BEACON STREET
STREET 2: SUITE 21
CITY: BOSTON
STATE: MA
ZIP: 02108
4
1
wf-form4_138507055463714.xml
FORM 4
X0306
4
2013-11-19
0
0001397911
LPL Financial Holdings Inc.
LPLA
0001405298
Putnam 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
2013-11-19
4
A
0
1183
0
A
224279.50
D
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/ James S. Putnam
2013-11-21