0001397911-17-000081.txt : 20170315 0001397911-17-000081.hdr.sgml : 20170315 20170315214117 ACCESSION NUMBER: 0001397911-17-000081 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170313 FILED AS OF DATE: 20170315 DATE AS OF CHANGE: 20170315 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: 17692752 MAIL ADDRESS: STREET 1: ONE BEACON STREET, 22ND FLOOR CITY: BOSTON STATE: MA ZIP: 02108 4 1 wf-form4_148962846232804.xml FORM 4 X0306 4 2017-03-13 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 2017-03-13 4 A 0 4552 0 A 23979 D Option to purchase Common Stock 39.48 2017-03-13 4 A 0 15930 0 A 2027-03-13 Common Stock 15930.0 15930 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 March 13, 2018, March 13, 2019 and March 13, 2020. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. Consists of (i) 8,270 shares of Common Stock; (ii) 1,330 restricted stock units that vest in full on March 6, 2018; (iii) 1,409 restricted stock units that vest ratably on each of June 10, 2017 and June 10, 2018; (iv) 5,307 restricted stock units that vest ratably on each of February 25, 2018 and February 25, 2019; (v) 3,111 restricted stock units that vest in full on February 25, 2019; and (vi) the restricted stock units reported on this Form 4. This option becomes exercisable in three equal annual installments on each of March 13, 2018, March 13, 2019 and March 13, 2020. 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 2017-03-15