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