0001397911-16-000263.txt : 20160229 0001397911-16-000263.hdr.sgml : 20160229 20160229210658 ACCESSION NUMBER: 0001397911-16-000263 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160225 FILED AS OF DATE: 20160229 DATE AS OF CHANGE: 20160229 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: Oroschakoff Michelle CENTRAL INDEX KEY: 0001585874 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 161470694 MAIL ADDRESS: STREET 1: 75 STATE STREET, 24TH FLOOR CITY: BOSTON STATE: MA ZIP: 02109 FORMER NAME: FORMER CONFORMED NAME: Ososchakoff Michelle DATE OF NAME CHANGE: 20130905 4 1 wf-form4_145679800718344.xml FORM 4 X0306 4 2016-02-25 0 0001397911 LPL Financial Holdings Inc. LPLA 0001585874 Oroschakoff Michelle C/O LPL FINANCIAL HOLDINGS INC. 75 STATE STREET, 22ND FLOOR BOSTON MA 02109 0 1 0 0 MD, Chief Risk Officer Common Stock 2016-02-25 4 A 0 4392 0 A 14432 D Common Stock 2016-02-25 4 A 0 3111 0 A 17543 D Option to purchase Common Stock 19.85 2016-02-25 4 A 0 35851 0 A 2026-02-25 Common Stock 35851.0 35851 D These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units will vest ratably on each of February 25, 2017, February 25, 2018 and February 25, 2019. Vested shares will be issued to the reporting person as soon as practicable after the applicable vesting date. These shares represent restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock on the applicable vesting date. These restricted stock units vest in full on February 25, 2019. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. Consists of (i) 2,658 shares of Common Stock; (ii) 2,711 restricted stock units that vest ratably on each of September 3, 2016 and September 3, 2017; (iii) 639 restricted stock units that vest in full on February 24, 2017; (iv) 805 restricted stock units that vest ratably on each of November 1, 2016 and November 1, 2017; (v) 2,305 restricted stock units that vest ratably on each of March 6, 2016, March 6, 2017 and March 6, 2018; (vi) 922 restricted stock units that vest in full on March 6, 2018; and (vii) the restricted stock units reported on this Form 4. This option becomes exercisable in three equal annual installments on each of February 25, 2017, February 25, 2018 and February 25, 2019. /s/ Michelle Oroschakoff 2016-02-29