0001397911-14-000046.txt : 20140226
0001397911-14-000046.hdr.sgml : 20140226
20140226173930
ACCESSION NUMBER: 0001397911-14-000046
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140224
FILED AS OF DATE: 20140226
DATE AS OF CHANGE: 20140226
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: 14645978
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_139345436039573.xml
FORM 4
X0306
4
2014-02-24
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
2014-02-24
4
A
0
3284
0
A
176805
D
Common Stock
2014-02-24
4
A
0
9122
0
A
185927
D
Option to purchase common stock
54.81
2014-02-24
4
A
0
20232
0
A
2024-02-24
Common Stock
20232.0
20232
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 February 24, 2015, February 24, 2016 and February 24, 2017. Vested shares will be issued to the reporting person as soon as practicable after the applicable vesting date.
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 vest in full on February 24, 2017. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.
Consists of (i) 168,684 shares of Common Stock; (ii) 4,837 restricted stock units that vest infull on February 25, 2015; and (iii) the reported restricted stock units on this Form 4.
This option becomes exercisable in three equal annual installments on each of February 24, 2015, February 24, 2016 and February 24, 2017.
/s/ Dan H. Arnold
2014-02-26