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