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