0001397911-15-000140.txt : 20150601
0001397911-15-000140.hdr.sgml : 20150601
20150601170720
ACCESSION NUMBER: 0001397911-15-000140
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150528
FILED AS OF DATE: 20150601
DATE AS OF CHANGE: 20150601
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: Buchheister Jeffrey R.
CENTRAL INDEX KEY: 0001614251
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 15904285
MAIL ADDRESS:
STREET 1: C/O LPL FINANCIAL HOLDINGS INC.
STREET 2: 75 STATE STREET, 24TH FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02109
4
1
wf-form4_143319283063550.xml
FORM 4
X0306
4
2015-05-28
0
0001397911
LPL Financial Holdings Inc.
LPLA
0001614251
Buchheister Jeffrey R.
C/O LPL FINANCIAL HOLDINGS INC.,
75 STATE STREET, 24TH FLOOR
BOSTON
MA
02109
0
1
0
0
EVP, Chief Accounting Officer
Common Stock
2015-05-28
4
M
0
13360
2.38
A
16199
D
Option to purchase Common Stock
2.38
2015-05-28
4
M
0
13360
0
D
2015-06-01
Common Stock
13360.0
0
D
Consists of (i) 14,162 shares of Common Stock; (ii) 369 restricted stock units that vest ratably on February 22, 2016 and February 22, 2017; (iii) 340 restricted stock units that vest ratably on February 24, 2016 and February 24, 2017; and (iv) 1,328 restricted stock units that vest ratably on March 6, 2016, March 6, 2017, and March 6,2018.
This option, representing the right to purchase a total of 13,360 shares of common stock, became exercisable in two equal installments beginning on June 1, 2006, which was the first anniversary of the date on which it was granted, and became fully vested and exercisable on June 1, 2007.
/s/ Jeffrey R. Buchheister
2015-06-01