Filing Details
- Accession Number:
- 0000904454-10-000400
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-11-19 19:14:10
- Reporting Period:
- 2010-11-17
- Filing Date:
- 2010-11-19
- Accepted Time:
- 2010-11-19 19:14:10
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1397911 | Lpl Investment Holdings Inc. | LPLA | Security & Commodity Brokers, Dealers, Exchanges & Services (6200) | 203717839 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1405275 | S Mark Casady | C/O Lpl Investment Holdings Inc. One Beacon Street Boston MA 02108 | Chairman & Chief Exec. Officer | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2010-11-17 | 1,402,560 | $1.49 | 1,402,560 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2010-11-17 | 500,910 | $1.35 | 1,903,470 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2010-11-17 | 2,003,650 | $1.88 | 3,907,120 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2010-11-17 | 2,148,916 | $30.00 | 1,758,204 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2010-11-17 | 55,000 | $0.00 | 1,703,204 | No | 4 | G | Direct | |
| Common Stock | Disposition | 2010-11-17 | 184,000 | $0.00 | 1,519,204 | No | 4 | G | Direct | |
| Common Stock | Disposition | 2010-11-17 | 170,000 | $0.00 | 1,349,204 | No | 4 | G | Direct | |
| Common Stock | Disposition | 2010-11-17 | 70,000 | $0.00 | 1,279,204 | No | 4 | G | Direct | |
| Common Stock | Acquisiton | 2010-11-17 | 92,000 | $0.00 | 92,000 | No | 4 | G | Indirect | by two trusts for the benefit of the Reporting Person's children |
| Common Stock | Acquisiton | 2010-11-17 | 70,000 | $0.00 | 70,000 | No | 4 | G | Indirect | by the Mark S. Casady 2010 Grantor Retained Annuity Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | G | Direct | |
| No | 4 | G | Direct | |
| No | 4 | G | Direct | |
| No | 4 | G | Direct | |
| No | 4 | G | Indirect | by two trusts for the benefit of the Reporting Person's children |
| No | 4 | G | Indirect | by the Mark S. Casady 2010 Grantor Retained Annuity Trust |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2010-11-17 | 1,402,560 | $0.00 | 1,402,560 | $1.49 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2010-11-17 | 500,910 | $0.00 | 500,910 | $1.35 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2010-11-17 | 2,003,650 | $0.00 | 2,003,650 | $1.88 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2014-05-31 | No | 4 | M | Direct | |
| 0 | 2013-11-30 | No | 4 | M | Direct | |
| 0 | 2013-05-02 | No | 4 | M | Direct |
Footnotes
- Adjusted to reflect the 10-for-1 stock split effected by the Issuer on 01/01/2008.
- Fully vested as of 12/28/2007.
- The Reporting Person disclaims beneficial ownership of such securities.
- The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
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