Filing Details

Accession Number:
0000904454-10-000408
Form Type:
4
Zero Holdings:
No
Publication Time:
2010-11-19 21:44:32
Reporting Period:
2010-11-17
Filing Date:
2010-11-19
Accepted Time:
2010-11-19 21:44:32
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
1405298 S James Putnam C/O Lpl Investment Holdings Inc.
One Beacon Street
Boston MA 02108
Yes No 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 2010-11-17 100,180 $1.88 100,180 No 4 M Indirect by spouse
Common Stock Acquisiton 2010-11-17 100,190 $1.35 200,370 No 4 M Indirect by spouse
Common Stock Acquisiton 2010-11-17 534,330 $1.49 734,700 No 4 M Indirect by spouse
Common Stock Disposition 2010-11-17 407,327 $30.00 327,373 No 4 S Indirect by spouse
Common Stock Disposition 2010-11-17 86,970 $30.00 400,000 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Indirect by spouse
No 4 M Indirect by spouse
No 4 M Indirect by spouse
No 4 S Indirect by spouse
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option (Right to Buy) Disposition 2010-11-17 100,180 $0.00 100,180 $1.88
Common Stock Stock Option (Right to Buy) Disposition 2010-11-17 100,190 $0.00 100,190 $1.35
Common Stock Stock Option (Right to Buy) Disposition 2010-11-17 534,330 $0.00 534,330 $1.49
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2003-05-02 2013-05-02 No 4 M Indirect
0 2003-11-30 2013-11-30 No 4 M Indirect
0 2004-05-31 2014-05-31 No 4 M Indirect
Footnotes
  1. Adjusted to reflect the 10-for-1 stock split effected by the Issuer on 01/01/2008.
  2. Held by the Reporting Person's spouse. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest, if any, therein.