0001397911-17-000045.txt : 20170228 0001397911-17-000045.hdr.sgml : 20170228 20170228205952 ACCESSION NUMBER: 0001397911-17-000045 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: White George Burton CENTRAL INDEX KEY: 0001548543 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 17651095 MAIL ADDRESS: STREET 1: ONE BEACON STREET, 22ND FLOOR CITY: BOSTON STATE: MA ZIP: 02108 4 1 wf-form4_148833357775557.xml FORM 4 X0306 4 2017-02-24 0 0001397911 LPL Financial Holdings Inc. LPLA 0001548543 White George Burton 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 0 298 39.13 D 20796 D Common Stock 2017-02-25 4 F 0 912 39.13 D 19884 D Consists of (i) 7,397 shares of Common Stock; (ii) 2,660 restricted stock units that vest ratably on March 6, 2017 and March 6, 2018; (iii) 1,409 restricted stock units that vest ratably on June 10, 2017 and June 10, 2018; (iv) 5,307 restricted stock units that vest ratably on February 25, 2018 and February 25, 2019; and (v) 3,111 restricted stock units that vest in full on February 25, 2019. The signatory is signing on behalf of George Burton White pursuant to a Power of Attorney dated August 11, 2015. /s/ Gregory M. Woods, attorney-in-fact 2017-02-28