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