0001397911-14-000125.txt : 20140905 0001397911-14-000125.hdr.sgml : 20140905 20140905162926 ACCESSION NUMBER: 0001397911-14-000125 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140903 FILED AS OF DATE: 20140905 DATE AS OF CHANGE: 20140905 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: Oroschakoff Michelle CENTRAL INDEX KEY: 0001585874 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 141086274 MAIL ADDRESS: STREET 1: 75 STATE STREET, 24TH FLOOR CITY: BOSTON STATE: MA ZIP: 02109 FORMER NAME: FORMER CONFORMED NAME: Ososchakoff Michelle DATE OF NAME CHANGE: 20130905 4 1 wf-form4_140994895578767.xml FORM 4 X0306 4 2014-09-03 0 0001397911 LPL Financial Holdings Inc. LPLA 0001585874 Oroschakoff Michelle C/O LPL FINANCIAL HOLDINGS INC. 75 STATE STREET, 24TH FLOOR BOSTON MA 02109 0 1 0 0 MD, Chief Risk Officer Common Stock 2014-09-03 4 F 0 510 48.09 D 6827 D Option to purchase Common Stock 48.09 2014-09-03 4 A 0 23179 0 A 2024-09-03 Common Stock 23179.0 23179 D Consists of (i) 845 shares of Common Stock; (ii) 4,067 restricted stock units that vest ratably on September 3, 2015, September 3, 2016 and September 3, 2017; and (iii) 1,915 restricted stock units that vest ratably on February 24, 2015, February 24, 2016 and February 24, 2017. This option will become exercisable in four equal annual installments on each of September 3, 2015, September 3, 2016, September 3, 2017 and September 3, 2018. /s/ Michelle Oroschakoff 2014-09-05