0001397911-14-000117.txt : 20140807
0001397911-14-000117.hdr.sgml : 20140807
20140807172345
ACCESSION NUMBER: 0001397911-14-000117
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140805
FILED AS OF DATE: 20140807
DATE AS OF CHANGE: 20140807
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: 141024925
MAIL ADDRESS:
STREET 1: 75 STATE STREET, 23RD FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02109
4
1
wf-form4_140744661470727.xml
FORM 4
X0306
4
2014-08-05
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
2014-08-05
4
F
0
516
46.51
D
44797
D
Common Stock
2014-08-05
4
A
0
5375
0
A
50172
D
Option to purchase Common Stock
46.51
2014-08-05
4
A
0
15039
0
A
2024-08-05
Common Stock
15039.0
15039
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 will vest ratably on each of August 5, 2015, August 5, 2016, August 5, 2017 and August 5, 2018. Vested shares will be issued to the reporting person as soon as practicable after the applicable vesting date.
Consists of (i) 1,062 shares of Common Stock; (ii) 4,735 restricted stock units that vest ratably on August 5, 2015, August 5, 2016 and August 5, 2017; (iii) 37,878 restricted stock units that vest in full on August 5, 2015; (iv) 1,122 restricted stock units that vest ratably on February 24, 2015, February 24, 2016 and February 24, 2017; and (v) 5,375 restricted stock units that vest ratably on August 5, 2015, August 5, 2016, August 5, 2017 and August 5, 2018.
This option will become exercisable in four equal annual installments on each of August 5, 2015, August 5, 2016, August 5, 2017 and August 5, 2018.
/s/ David P. Bergers
2014-08-07