0001397911-15-000091.txt : 20150319 0001397911-15-000091.hdr.sgml : 20150319 20150319172608 ACCESSION NUMBER: 0001397911-15-000091 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150313 FILED AS OF DATE: 20150319 DATE AS OF CHANGE: 20150319 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: Thomas Lux CENTRAL INDEX KEY: 0001466673 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 15713764 BUSINESS ADDRESS: STREET 1: ONE BEACON STREET CITY: BOSTON STATE: MA ZIP: 02108 BUSINESS PHONE: 617-423-3644 MAIL ADDRESS: STREET 1: ONE BEACON STREET CITY: BOSTON STATE: MA ZIP: 02108 3 1 wf-form3_142680035865155.xml FORM 3 X0206 3 2015-03-13 0 0001397911 LPL Financial Holdings Inc. LPLA 0001466673 Thomas Lux C/O LPL FINANCIAL HOLDINGS INC. 75 STATE STREET BOSTON MA 02109 0 1 0 0 Acting Chief Financial Officer Common Stock 6378 D Option to purchase Common Stock 22.08 2019-09-14 Common Stock 15300.0 D Option to purchase Common Stock 34.61 2020-12-22 Common Stock 20000.0 D Option to purchase Common Stock 32.26 2022-02-09 Common Stock 6843.0 D Option to purchase Common Stock 31.6 2023-02-22 Common Stock 8291.0 D Option to purchase Common Stock 54.81 2024-02-24 Common Stock 4924.0 D Consists of (i) 4,505 shares of Common Stock; (ii) 1,044 restricted stock units that vest ratably on February 22, 2016 and February 22, 2017; and (iii) 829 restricted stock units that vest ratably on February 24, 2016 and February 24, 2017. This option became fully vested and exercisable on September 14, 2014. This option is currently exercisable as to 16,000 shares. The remaining award will become vested and exercisable on December 22, 2015. This option is currently exercisable as to 2,506 shares. The remaining award will vest ratably on February 9, 2016 and February 9, 2017. This option is currently exercisable as to 4,145 shares. The remaining award will vest ratably on February 22, 2016, and February 22, 2017. This option is currently exercisable as to 1,642 shares. The remaining award will vest ratably on February 24, 2016, and February 24, 2017. /s/ Thomas Lux 2015-03-19