0001397911-17-000116.txt : 20170522 0001397911-17-000116.hdr.sgml : 20170522 20170522202906 ACCESSION NUMBER: 0001397911-17-000116 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170518 FILED AS OF DATE: 20170522 DATE AS OF CHANGE: 20170522 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: 22ND FLOOR CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 617 423 3644 MAIL ADDRESS: STREET 1: 75 STATE STREET STREET 2: 22ND 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: EBERHART PAULETT CENTRAL INDEX KEY: 0001179702 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 17862476 MAIL ADDRESS: STREET 1: C/O ANADARKO PETROLEUM CORPORATION STREET 2: 1201 LAKE ROBBINS DRIVE CITY: THE WOODLANDS STATE: TX ZIP: 77380 4 1 wf-form4_149549933188865.xml FORM 4 X0306 4 2017-05-18 0 0001397911 LPL Financial Holdings Inc. LPLA 0001179702 EBERHART PAULETT C/O LPL FINANCIAL HOLDINGS INC., 75 STATE STREET, 22ND FLOOR BOSTON MA 02109 1 0 0 0 Common Stock 2017-05-18 4 A 0 3199 0 A 11262 D These shares represent restricted stock that was granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan pursuant to the Issuer's Non-Employee Director Compensation Policy. This restricted stock is scheduled to vest in full on May 18, 2018. The signatory is signing on behalf of Paulett Eberhart pursuant to a Power of Attorney dated November 21, 2014, which was previously filed with the Commission. /s/ Gregory M. Woods, as attorney-in-fact 2017-05-22