0001397911-15-000069.txt : 20150310
0001397911-15-000069.hdr.sgml : 20150310
20150310203050
ACCESSION NUMBER: 0001397911-15-000069
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150306
FILED AS OF DATE: 20150310
DATE AS OF CHANGE: 20150310
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: Helliker Mark
CENTRAL INDEX KEY: 0001487483
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 15690793
MAIL ADDRESS:
STREET 1: C/O LPL INVESTMENT HOLDINGS INC.
STREET 2: ONE BEACON STREET
CITY: BOSTON
STATE: MA
ZIP: 02108
4
1
wf-form4_142603384052707.xml
FORM 4
X0306
4
2015-03-06
0
0001397911
LPL Financial Holdings Inc.
LPLA
0001487483
Helliker Mark
C/O LPL FINANCIAL HOLDINGS INC.
75 STATE STREET, 24TH FLOOR
BOSTON
MA
02109
0
1
0
0
MD, Client Support Services
Common Stock
2015-03-06
4
A
0
2634
0
A
7001
D
Option to purchase Common Stock
45.55
2015-03-06
4
A
0
18445
0
A
2025-03-06
Common Stock
18445.0
18445
D
These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on each of March 6, 2016, March 6, 2017 and March 6, 2018. Vested shares will be issued to the reporting person as soon as practicable after the applicable vesting date.
Consists of (i) 1,338 shares of Common Stock; (ii) 1,661 restricted stock units that vest ratably on February 22, 2016 and February 22, 2017; (iii) 1,368 restricted stock units that vest ratably on February 24, 2016 and February 24, 2017; and (iv) the reported restricted stock units on this Form 4.
This option becomes exercisable in three equal annual installments on each of March 6, 2016, March 6, 2017 and March 6, 2018.
/s/ Mark R. Helliker
2015-03-10