0001397911-17-000133.txt : 20170522 0001397911-17-000133.hdr.sgml : 20170522 20170522214629 ACCESSION NUMBER: 0001397911-17-000133 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: RIEPE JAMES S CENTRAL INDEX KEY: 0001203072 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 17862547 MAIL ADDRESS: STREET 1: GENWORTH FINANCIAL, INC. STREET 2: 6620 WEST BROAD STREET CITY: RICHMOND STATE: VA ZIP: 23230 4 1 wf-form4_149550397364631.xml FORM 4 X0306 4 2017-05-18 0 0001397911 LPL Financial Holdings Inc. LPLA 0001203072 RIEPE JAMES S 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 64667 D Common Stock 2017-05-18 4 A 0 1968 0 A 66635 D Common Stock 35971 I By Stone Barn LLC These shares represent restricted stock that was granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan ("Plan") pursuant to the Issuer's Non-Employee Director Compensation Policy ("Policy"). This restricted stock is scheduled to vest in full on May 18, 2018. The reporting person elected to receive these shares, which were granted under the Plan, in lieu of the cash portion of the annual retainer under the Policy. The signatory is signing on behalf of James S. Riepe pursuant to a Power of Attorney dated March 10, 2014, which was previously filed with the Commission. /s/ Gregory M. Woods, attorney-in-fact 2017-05-22