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