0001397911-19-000020.txt : 20190226
0001397911-19-000020.hdr.sgml : 20190226
20190226212557
ACCESSION NUMBER: 0001397911-19-000020
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190223
FILED AS OF DATE: 20190226
DATE AS OF CHANGE: 20190226
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Audette Matthew J
CENTRAL INDEX KEY: 0001435098
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 19635591
MAIL ADDRESS:
STREET 1: C/O DAVIS POLK & WARDWELL
STREET 2: 450 LEXINGTON AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10017
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_155123434155626.xml
FORM 4
X0306
4
2019-02-23
0
0001397911
LPL Financial Holdings Inc.
LPLA
0001435098
Audette Matthew J
C/O LPL FINANCIAL HOLDINGS INC.
75 STATE STREET, 22ND FLOOR
BOSTON
MA
02109
0
1
0
0
Chief Financial Officer
Common Stock
2019-02-23
4
F
0
616
77.04
D
32358
D
Common Stock
2019-02-25
4
F
0
2405
77.53
D
29953
D
Common Stock
2019-02-25
4
A
0
4299
0
A
34252
D
Option to purchase Common Stock
77.53
2019-02-25
4
A
0
12903
0
A
2029-02-25
Common Stock
12903.0
12903
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, 2020, February 25, 2021 and February 25, 2022. Vested shares will be issued to the reporting person as soon as practicable after the vesting date.
Consists of (i) 21,256 shares of Common Stock; (ii) 5,277 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; (iii) 3,420 restricted stock units that vest ratably on each of February 23, 2020 and February 23, 2021; and (iv) the restricted stock units reported on this Form 4.
This option becomes exercisable in three equal annual installments on each of February 25, 2020, February 25, 2021 and February 25, 2022.
The signatory is signing on behalf of Matthew J. Audette pursuant to a Power of Attorney dated September 30, 2015.
/s/ Gregory M. Woods, attorney-in-fact
2019-02-26