0001397911-15-000077.txt : 20150310 0001397911-15-000077.hdr.sgml : 20150310 20150310205740 ACCESSION NUMBER: 0001397911-15-000077 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150306 FILED AS OF DATE: 20150310 DATE AS OF CHANGE: 20150310 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: 15690840 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_142603545075418.xml FORM 4 X0306 4 2015-03-06 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 2015-03-06 4 A 0 2305 0 A 10060 D Common Stock 2015-03-06 4 A 0 922 0 A 10982 D Option to purchase Common Stock 45.55 2015-03-06 4 A 0 16139 0 A 2025-03-06 Common Stock 16139.0 16139 D Option to purchase Common Stock 45.55 2015-03-06 4 A 0 6455 0 A 2018-03-06 2025-03-06 Common Stock 6455.0 6455 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 March 6, 2016, March 6, 2017 and March 6, 2018. 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 will vest in full on March 6, 2018. Vested shares will be issued to the reporting person as soon as practicable after the applicable vesting date. Consists of (i) 1,203 shares of Common Stock; (ii) 4,067 restricted stock units that vest ratably on September 3, 2015, September 3, 2016 and September 3, 2017; (iii) 1,277 restricted stock units that vest ratably on February 24, 2016 and February 24, 2017; (iv) 1,208 restricted stock units that vest ratably on each of November 1, 2015, November 1, 2016 and November 1, 2017; and (v) the reported restricted stock units on this Form 4. This option becomes exercisable in three equal annual installments on each of March 6, 2016, March 6, 2017 and March 6, 2018. This option will become exercisable in full on March 6, 2018. /s/ Michelle Oroschakoff 2015-03-10