0001397911-14-000058.txt : 20140304
0001397911-14-000058.hdr.sgml : 20140304
20140304190734
ACCESSION NUMBER: 0001397911-14-000058
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140228
FILED AS OF DATE: 20140304
DATE AS OF CHANGE: 20140304
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 14666811
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
4
1
wf-form4_139397804361691.xml
FORM 4
X0306
4
2014-02-28
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
EVP, CAO
Common Stock
2014-02-28
4
M
0
4000
32.26
A
10213
D
Common Stock
2014-02-28
4
S
0
4000
53.98
D
6213
D
Common Stock
2014-02-28
4
M
0
2200
22.08
A
8413
D
Option to purchase common stock
32.26
2014-02-28
4
M
0
4000
0
D
2022-02-09
Common Stock
4000.0
6843
D
Option to purchase common stock
22.08
2014-02-28
4
M
0
2200
0
D
2019-09-14
Common Stock
2200.0
15300
D
Consists of (i) 3,992 shares of Common Stock; (ii) 1,566 restricted stock units that vest ratably on February 22, 2015, February 22, 2016 and February 22, 2017; (iii) 1,612 restricted stock units that vest in full on February 25, 2015; and (iv) 1,243 restricted stock units that vest ratably on February 24, 2015, February 24, 2016 and February 24, 2017.
This option, representing a right to purchase 10,843 shares, becomes exercisable in five equal installments beginning on February 9, 2013, which was the first anniversary of the grant date. Of the remaining 6,843 shares, 337 shares have vested and are exercisable, and 6,506 shares shall become exercisable ratably on February 9, 2015, February 9, 2016 and February 9, 2017.
This option, representing a right to purchase 20,000 shares, becomes exercisable in five equal installments beginning on September 14, 2010, which was the first anniversary of the grant date. Of the remaining 15,300 shares, 11,300 shares have vested and are exercisable, and 4,000 shares shall become exercisable on September 14, 2014.
/s/ Thomas Lux
2014-03-04