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