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
  1. 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.
  2. 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.