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