0001397911-14-000022.txt : 20140214 0001397911-14-000022.hdr.sgml : 20140214 20140214181837 ACCESSION NUMBER: 0001397911-14-000022 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140212 FILED AS OF DATE: 20140214 DATE AS OF CHANGE: 20140214 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: Arnold Dan H. CENTRAL INDEX KEY: 0001487487 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 14619590 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_139241990576968.xml FORM 4 X0306 4 2014-02-12 0 0001397911 LPL Financial Holdings Inc. LPLA 0001487487 Arnold Dan H. C/O LPL FINANCIAL HOLDINGS INC. 75 STATE STREET BOSTON MA 02109 0 1 0 0 Chief Financial Officer Common Stock 2014-02-12 4 S 0 70000 52 D 173521 D Consists of 168,684 shares of Common Stock, and 4,837 restricted stock units that vest fully on February 25, 2015 /s/ Dan H. Arnold 2014-02-14