0001397911-14-000042.txt : 20140225 0001397911-14-000042.hdr.sgml : 20140225 20140225210005 ACCESSION NUMBER: 0001397911-14-000042 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: Kalbaugh John Andrew CENTRAL INDEX KEY: 0001548546 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 14642657 MAIL ADDRESS: STREET 1: ONE BEACON STREET, 22ND FLOOR CITY: BOSTON STATE: MA ZIP: 02108 4 1 wf-form4_139337999502397.xml FORM 4 X0306 4 2014-02-22 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 2014-02-22 4 F 0 331 54.25 D 6315 D Common Stock 2014-02-24 4 A 0 2025 0 A 8340 D Option to purchase common stock 54.81 2014-02-24 4 A 0 12476 0 A 2024-02-24 Common Stock 12476.0 12476 D Consists of (i) 524 shares of Common Stock; (ii) 2,567 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/ John Andrew Kalbaugh 2014-02-25