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