Filing Details
- Accession Number:
- 0001209191-12-056641
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-12-10 16:09:04
- Reporting Period:
- 2012-12-06
- Filing Date:
- 2012-12-10
- Accepted Time:
- 2012-12-10 16:09:04
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1397911 | Lpl Financial Holdings Inc. | LPLA | Security & Commodity Brokers, Dealers, Exchanges & Services (6200) | 203717839 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1487484 | Christopher Feeney | C/O Lpl Financial Holdings Inc. 75 State Street, 24Th Floor Boston MA 02109 | Md, Chief Information Officer | No | 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 | 2012-12-06 | 9,000 | $18.04 | 9,000 | No | 4 | M | Direct | |
Common Stock | Disposition | 2012-12-06 | 9,000 | $28.07 | 0 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Option to Purchase Common Stock | Disposition | 2012-12-06 | 9,000 | $0.00 | 9,000 | $18.04 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
16,700 | 2019-02-12 | No | 4 | M | Direct |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.02 to $28.12, inclusive. The reporting person undertakes to provide to LPL Financial Holdings Inc., any security holder of LPL Financial Holdings Inc., or the staff of the Securities and Exchange Commission, uipon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (1) to this Form 4.
- This option is currently exercisable for 18,000 shares. An additional 6,000 shares will become exercisable on each of February 12, 2013 and 2014.