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