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