0001397911-17-000041.txt : 20170228 0001397911-17-000041.hdr.sgml : 20170228 20170228204518 ACCESSION NUMBER: 0001397911-17-000041 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170224 FILED AS OF DATE: 20170228 DATE AS OF CHANGE: 20170228 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: Morrissey William P. Jr. CENTRAL INDEX KEY: 0001606128 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 17651061 MAIL ADDRESS: STREET 1: C/O LPL HOLDINGS INC. STREET 2: 75 STATE STREET, 24TH FLOOR CITY: BOSTON STATE: MA ZIP: 02109 4 1 wf-form4_148833270368249.xml FORM 4 X0306 4 2017-02-24 0 0001397911 LPL Financial Holdings Inc. LPLA 0001606128 Morrissey William P. Jr. C/O LPL FINANCIAL HOLDINGS INC. 75 STATE STREET, 22ND FLOOR BOSTON MA 02109 0 1 0 0 Managing Director Common Stock 2017-02-24 4 F 0 203 39.13 D 15184 D Common Stock 2017-02-25 4 F 0 859 39.13 D 14325 D Consists of (i) 5,415 shares of Common Stock; (ii) 1,334 restricted stock units that vest ratably on March 6, 2017 and March 6, 2018; (iii) 4,465 restricted stock units that vest ratably on February 25, 2018 and February 25, 2019; and (iv) 3,111 restricted stock units that vest in full on February 25, 2019. The signatory is signing on behalf of William P. Morrissey, Jr. pursuant to a Power of Attorney dated August 14, 2015 /s/ Gregory M. Woods, attorney-in-fact 2017-02-28