0001397911-13-000067.txt : 20130807 0001397911-13-000067.hdr.sgml : 20130807 20130807170526 ACCESSION NUMBER: 0001397911-13-000067 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130805 FILED AS OF DATE: 20130807 DATE AS OF CHANGE: 20130807 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: Bergers David P. CENTRAL INDEX KEY: 0001583698 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 131018833 MAIL ADDRESS: STREET 1: 75 STATE STREET, 23RD FLOOR CITY: BOSTON STATE: MA ZIP: 02109 4 1 wf-form4_137590951576344.xml FORM 4 X0306 4 2013-08-05 0 0001397911 LPL Financial Holdings Inc. LPLA 0001583698 Bergers David P. C/O LPL FINANCIAL HOLDINGS INC. 75 STATE STREET, 24TH FLOOR BOSTON MA 02109 0 1 0 0 MD, Legal & Gov't Relations Common Stock, par value $0.001 per share 2013-08-05 4 A 0 6313 0 A 6313 D Common Stock, par value $0.001 per share 2013-08-05 4 A 0 37878 0 A 44191 D Option to purchase common stock 39.6 2013-08-05 4 A 0 16868 0 A 2023-08-05 Common Stock 16868.0 16868 D 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 vest in four equal annual installments on each of August 5, 2014, 2015, 2016 and 2017. Vested shares will be issued to the reporting person as soon as practicable after the applicable vesting date. 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 vest in full on August 5, 2015. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. This option becomes exercisable in four equal annual installments on each of August 5, 2014, 2015, 2016 and 2017. /s/ David Bergers 2013-08-07