0001397911-13-000087.txt : 20131115 0001397911-13-000087.hdr.sgml : 20131115 20131115160823 ACCESSION NUMBER: 0001397911-13-000087 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131114 FILED AS OF DATE: 20131115 DATE AS OF CHANGE: 20131115 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: Thomas Lux CENTRAL INDEX KEY: 0001466673 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 131224044 BUSINESS ADDRESS: STREET 1: ONE BEACON STREET CITY: BOSTON STATE: MA ZIP: 02108 BUSINESS PHONE: 617-423-3644 MAIL ADDRESS: STREET 1: ONE BEACON STREET CITY: BOSTON STATE: MA ZIP: 02108 4 1 wf-form4_138454969246581.xml FORM 4 X0306 4 2013-11-14 0 0001397911 LPL Financial Holdings Inc. LPLA 0001466673 Thomas Lux C/O LPL FINANCIAL HOLDINGS INC. 75 STATE STREET BOSTON MA 02109 0 1 0 0 EVP, CAO Common Stock 2013-11-14 4 S 0 1000 42.31 D 5200 D Represents 1,500 shares of Common Stock and 3,700 shares of restricted stock units. /s/ Thomas Lux 2013-11-15