LPL Financial Holdings Inc.
LPL Financial Holdings Inc. (Form: 3, Received: 03/19/2015 17:27:53)
FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Thomas Lux

2. Date of Event Requiring Statement (MM/DD/YYYY)
3/13/2015 

3. Issuer Name and Ticker or Trading Symbol

LPL Financial Holdings Inc. [LPLA]

(Last)        (First)        (Middle)

C/O LPL FINANCIAL HOLDINGS INC., 75 STATE STREET

4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                            _____ 10% Owner
___ X ___ Officer (give title below)          _____ Other (specify below)
Acting Chief Financial Officer /

(Street)

BOSTON, MA 02109       

(City)              (State)              (Zip)
5. If Amendment, Date Original Filed (MM/DD/YYYY)

 

6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person


Table I - Non-Derivative Securities Beneficially Owned
1.Title of Security
(Instr. 4)
2. Amount of Securities Beneficially Owned
(Instr. 4)
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
Common Stock   6378   (1) D    

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Option to purchase Common Stock     (2) 9/14/2019   Common Stock   15300.0   $22.08   D    
Option to purchase Common Stock     (3) 12/22/2020   Common Stock   20000.0   $34.61   D    
Option to purchase Common Stock     (4) 2/9/2022   Common Stock   6843.0   $32.26   D    
Option to purchase Common Stock     (5) 2/22/2023   Common Stock   8291.0   $31.6   D    
Option to purchase Common Stock     (6) 2/24/2024   Common Stock   4924.0   $54.81   D    

Explanation of Responses:
( 1)  Consists of (i) 4,505 shares of Common Stock; (ii) 1,044 restricted stock units that vest ratably on February 22, 2016 and February 22, 2017; and (iii) 829 restricted stock units that vest ratably on February 24, 2016 and February 24, 2017.
( 2)  This option became fully vested and exercisable on September 14, 2014.
( 3)  This option is currently exercisable as to 16,000 shares. The remaining award will become vested and exercisable on December 22, 2015.
( 4)  This option is currently exercisable as to 2,506 shares. The remaining award will vest ratably on February 9, 2016 and February 9, 2017.
( 5)  This option is currently exercisable as to 4,145 shares. The remaining award will vest ratably on February 22, 2016, and February 22, 2017.
( 6)  This option is currently exercisable as to 1,642 shares. The remaining award will vest ratably on February 24, 2016, and February 24, 2017.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Thomas Lux
C/O LPL FINANCIAL HOLDINGS INC.
75 STATE STREET
BOSTON, MA 02109


Acting Chief Financial Officer

Signatures
/s/ Thomas Lux 3/19/2015
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5(b)(v).
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