0001397911-16-000362.txt : 20161216
0001397911-16-000362.hdr.sgml : 20161216
20161216184937
ACCESSION NUMBER: 0001397911-16-000362
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161214
FILED AS OF DATE: 20161216
DATE AS OF CHANGE: 20161216
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: DINH VIET D
CENTRAL INDEX KEY: 0001306819
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 162057457
MAIL ADDRESS:
STREET 1: GEORGETOWN UNIVERSITY LAW CENTER
STREET 2: 600 NEW JERSEY AVENUE NW
CITY: WASHINGTON
STATE: DC
ZIP: 20001
FORMER NAME:
FORMER CONFORMED NAME: Dinh Viet D
DATE OF NAME CHANGE: 20041022
4
1
wf-form4_148193216425571.xml
FORM 4
X0306
4
2016-12-14
0
0001397911
LPL Financial Holdings Inc.
LPLA
0001306819
DINH VIET D
C/O LPL FINANCIAL HOLDINGS INC.
75 STATE STREET, 22ND FLOOR
BOSTON
MA
02109
1
0
0
0
Common Stock
2016-11-01
5
G
0
E
4844
0
D
2948
D
Common Stock
2016-11-01
5
G
0
E
4844
0
A
4844
I
Held by reporting person's spouse.
Common Stock
2016-11-03
5
J
0
E
4844
0
D
0
I
Held by reporting person's spouse.
Common Stock
2016-11-03
5
J
0
E
4844
0
A
4844
I
Held through GRAT
Common Stock
2016-12-14
4
A
0
3468
0
A
6416
D
Common Stock
2016-12-14
4
A
0
1734
0
A
8150
D
Represents a gift transfer to the reporting person's spouse.
Includes 60.974042 shares acquired under the Issuer's Dividend Reinvestment Plan.
Following the gift transfer described in footnote 1 above, these shares were contributed to the Jennifer A. Dinh 2016 Grantor Retained Annuity Trust. The reporting person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is scheduled to vest in full on May 11, 2017. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan pursuant to which the reporting person elected to defer receipt of the equity portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy.
Represents stock units granted under the Issuer's Amended and Restated 2010 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. These stock units are subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan pursuant to which the reporting person elected to defer receipt of the cash portion of the annual retainer under the Issuer's Non-Employee Director Compensation Policy.
The signatory is signing on behalf of Viet D. Dinh pursuant to a Power of Attorney dated August 31, 2015, which was previously filed with the Commission.
/s/ Gregory M. Woods, as attorney-in-fact
2016-12-16