0001397911-16-000277.txt : 20160308 0001397911-16-000277.hdr.sgml : 20160308 20160308190002 ACCESSION NUMBER: 0001397911-16-000277 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160306 FILED AS OF DATE: 20160308 DATE AS OF CHANGE: 20160308 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: 22ND FLOOR CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 617 423 3644 MAIL ADDRESS: STREET 1: 75 STATE STREET STREET 2: 22ND 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: Fetter Victor CENTRAL INDEX KEY: 0001564796 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 161492955 MAIL ADDRESS: STREET 1: 4828 PARKWAY PLAZA CITY: CHARLOTTE STATE: NC ZIP: 28217 4 1 wf-form4_145748159142657.xml FORM 4 X0306 4 2016-03-06 0 0001397911 LPL Financial Holdings Inc. LPLA 0001564796 Fetter Victor C/O LPL FINANCIAL HOLDINGS INC. 75 STATE STREET, 22ND FLOOR BOSTON MA 02109 0 1 0 0 MD, Chief Information Officer Common Stock 2016-03-06 4 F 0 338 21.44 D 25552 D Consists of (i) 10,037 shares of common stock; (ii) 912 restricted stock units that vest in full on February 24, 2017; (iii) 2,736 restricted stock units that vest in full on February 24, 2017; (iv) 1,225 restricted stock units that vest in full on March 6, 2018; (v) 2,041 restricted stock units that vest ratably on March 6, 2017 and March 6, 2018; (vi) 5,490 restricted stock units that vest ratably on each of February 25, 2017, February 25, 2018 and February 25, 2019; and (vii) 3,111 restricted stock units that vest in full on February 25, 2019. The signatory is signing on behalf of Victor Fetter pursuant to a Power of Attorney dated February 8, 2016. /s/ Gregory M. Woods, attorney-in-fact 2016-03-08