0001209191-13-011713.txt : 20130226 0001209191-13-011713.hdr.sgml : 20130226 20130226171115 ACCESSION NUMBER: 0001209191-13-011713 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130222 FILED AS OF DATE: 20130226 DATE AS OF CHANGE: 20130226 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kalbaugh John Andrew CENTRAL INDEX KEY: 0001548546 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 13643637 MAIL ADDRESS: STREET 1: ONE BEACON STREET, 22ND FLOOR CITY: BOSTON STATE: MA ZIP: 02108 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2013-02-22 0 0001397911 LPL Financial Holdings Inc. LPLA 0001548546 Kalbaugh John Andrew C/O LPL FINANCIAL HOLDINGS INC. 75 STATE STREET, 24TH FLOOR BOSTON MA 02109 0 1 0 0 MD, Institution Services Common Stock, par value $0.001 per share 2013-02-22 4 A 0 3422 0.00 A 3422 D Option to Purchase Common Stock 31.60 2013-02-22 4 A 0 21135 0.00 A 2023-02-22 Common Stock 21135 21135 D These shares represent restricted stock units that were granted under the Issuer's 2010 Omnibus Equity Incentive Plan. The restricted stock units will vest in 25% increments on each of February 22, 2014, 2015, 2016, and 2017. The option is not currently exercisable as to any shares. This option is exercisable in 25% increments on each of February 22, 2014, 2015, 2016, and 2017. /s/ John Andrew Kalbaugh 2013-02-26