0001397911-14-000040.txt : 20140225
0001397911-14-000040.hdr.sgml : 20140225
20140225203238
ACCESSION NUMBER: 0001397911-14-000040
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140222
FILED AS OF DATE: 20140225
DATE AS OF CHANGE: 20140225
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: Bruton Derek
CENTRAL INDEX KEY: 0001548542
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 14642603
MAIL ADDRESS:
STREET 1: ONE BEACON STREET, 22ND FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02108
4
1
wf-form4_139337834719917.xml
FORM 4
X0306
4
2014-02-22
0
0001397911
LPL Financial Holdings Inc.
LPLA
0001548542
Bruton Derek
C/O LPL FINANCIAL HOLDINGS INC.
75 STATE STREET, 24TH FLOOR
BOSTON
MA
02109
0
1
0
0
MD, Independent Advisor Svcs
Common Stock
2014-02-22
4
F
0
437
54.25
D
7432
D
Common Stock
2014-02-24
4
A
0
1970
0
A
9402
D
Option to purchase common stock
54.81
2014-02-24
4
A
0
12139
0
A
2024-02-24
Common Stock
12139.0
12139
D
Consists of (i) 724 shares of Common Stock; (ii) 3,484 restricted stock units that vest ratably on February 22, 2015, February 22, 2016 and February 22, 2017; and (iii) 3,224 restricted stock units that vest in full on February 25, 2015.
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.
This option becomes exercisable in three equal annual installments on each of February 24, 2015, February 24, 2016 and February 24, 2017.
/s/ Derek Bruton
2014-02-25