0001397911-15-000159.txt : 20150810 0001397911-15-000159.hdr.sgml : 20150810 20150810173414 ACCESSION NUMBER: 0001397911-15-000159 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150806 FILED AS OF DATE: 20150810 DATE AS OF CHANGE: 20150810 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: Gooley Thomas CENTRAL INDEX KEY: 0001647085 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 151041916 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_143924244447508.xml FORM 4 X0306 4 2015-08-06 0 0001397911 LPL Financial Holdings Inc. LPLA 0001647085 Gooley Thomas C/O LPL FINANCIAL HOLDINGS INC., 75 STATE STREET, 24TH FLOOR BOSTON MA 02109 0 1 0 0 MD, Svc, Trading & Operations Common Stock 2015-08-06 4 A 0 6858 0 A 6858 D Option to purchase Common Stock 43.74 2015-08-06 4 A 0 20576 0 A 2025-08-06 Common Stock 20576.0 20576 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 August 6, 2016, August 6, 2017 and August 6, 2018. Vested shares will be issued to the reporting person as soon as practicable after the applicable vesting date. This option becomes exercisable in three equal annual installments on each of August 6, 2016, August 6, 2017 and August 6, 2018. /s/ Thomas Gooley 2015-08-10