0001397911-15-000095.txt : 20150414 0001397911-15-000095.hdr.sgml : 20150414 20150414170707 ACCESSION NUMBER: 0001397911-15-000095 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150410 FILED AS OF DATE: 20150414 DATE AS OF CHANGE: 20150414 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: 15769852 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_142904561765738.xml FORM 4 X0306 4 2015-04-10 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 Acting Chief Financial Officer Common Stock 2015-04-10 4 M 0 2000 22.08 A 8378 D Option to purchase Common Stock 22.08 2015-04-10 4 M 0 2000 0 D 2019-09-14 Common Stock 2000.0 13300 D Consists of (i) 6,505 shares of Common Stock; (ii) 1,044 restricted stock units that vest ratably on February 22, 2016 and February 22, 2017; and (iii) 829 restricted stock units that vest ratably on February 24, 2016 and February 24, 2017. This option, representing the right to purchase a total of 20,000 shares of common stock, became exercisable in five equal installments beginning on September 14, 2010, which was the first anniversary of the date on which it was granted, and became fully vested and exercisable on September 14, 2014. /s/ Gregory M. Woods, as attorney-in-fact 2015-04-14 EX-24 2 luxsection16powerofattorne.htm LUX SECTION 16 POWER OF ATTORNEY 20150318
SECTION 16 POWER OF ATTORNEY

I hereby constitute and appoint each of David P. Bergers and Gregory M. Woods, signing singly, my true and lawful attorney-in-fact to:

(1)    execute on my behalf any Form 3  Initial Statement of Beneficial Ownership of Securities, Form 4 - Statement of Changes in Beneficial Ownership of Securities or Form 5  Annual Statement of Beneficial Ownership of Securities, including any amendments, supplements or exhibits thereto (each, a "Section 16 Report"), which I am required to file in my capacity as an officer of LPL Financial Holdings Inc. (the "Company") in accordance with Section 16(a) of the Securities Exchange Act of 1934, as amended (the "Act") and the rules thereunder;

(2)    do and perform any and all acts for and on my behalf that may be necessary or desirable to complete and execute any Section 16 Report and timely file such report with the United States Securities and Exchange Commission and any stock exchange or similar authority;

(3)    seek or obtain, as my representative and on my behalf, information on transactions in the Company's securities from any third party, including brokers, employee benefit plan administrators and trustees, and I hereby authorize any such third party to release any such information to each of my attorneys-in-fact appointed by this Power of Attorney; and

(4)    take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be to my benefit, in my best interest, or that I am legally required to do, it being understood that the documents executed by such attorney-in-fact on my behalf pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact's discretion.

I hereby grant to each attorney-in-fact hereunder full power and authority to do and perform any and every act and thing whatsoever necessary or desirable to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as I might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this Power of Attorney and the rights and powers herein granted.

I acknowledge that this Power of Attorney does not relieve me of my responsibilities to comply with Section 16 of the Act and the attorneys-in-fact, in serving in such capacity at my request, are not assuming, nor is the Company assuming, any of my responsibilities to comply with Section 16 of the Act.

This Power of Attorney shall remain in full force and effect until I am no longer required to file Section 16 Reports with respect to my holdings of and transactions in Company securities, unless I earlier revoke it in a signed writing delivered to the attorneys-in-fact.

IN WITNESS WHEREOF, I have caused this Power of Attorney to be executed as of this 19th day of March, 2015.

By: /s/ Thomas Lux