0001397911-18-000035.txt : 20180227 0001397911-18-000035.hdr.sgml : 20180227 20180227204913 ACCESSION NUMBER: 0001397911-18-000035 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180223 FILED AS OF DATE: 20180227 DATE AS OF CHANGE: 20180227 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: 18647792 MAIL ADDRESS: STREET 1: ONE BEACON STREET, 22ND FLOOR CITY: BOSTON STATE: MA ZIP: 02108 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 4 1 wf-form4_151978253877133.xml FORM 4 X0306 4 2018-02-23 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 2018-02-23 4 A 0 3054 0 A 26790 D Common Stock 2018-02-25 4 F 0 868 65.50 D 25922 D Option to purchase Common Stock 65.5 2018-02-23 4 A 0 9448 0 A 2028-02-23 Common Stock 9448.0 9448 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 23, 2019, February 23, 2020 and February 23, 2021. Vested shares will be issued to the reporting person as soon as practicable after the vesting date. Consists of (i) 10,518 shares of Common Stock; (ii) 1,330 restricted stock units that vest in full on March 6, 2018; (iii) 704 restricted stock units that vest in full on June 10, 2018; (iv) 2,653 restricted stock units that vest in full on February 25, 2019; (v) 3,111 restricted stock units that vest in full on February 25, 2019; (vi) 4,552 restricted stock units that vest ratably on each of March 13, 2018, March 13, 2019 and March 13, 2020; and (vii) the restricted stock units reported on this Form 4. This option becomes exercisable in three equal annual installments on each of February 23, 2019, February 23, 2020 and February 23, 2021. 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 2018-02-27