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