Filing Details
- Accession Number:
- 0001209191-13-008498
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-02-13 17:04:38
- Reporting Period:
- 2013-02-11
- Filing Date:
- 2013-02-13
- Accepted Time:
- 2013-02-13 17:04:38
- 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 |
|---|---|---|---|---|---|---|---|
| 1548542 | Derek Bruton | C/O Lpl Financial Holdings Inc. 75 State Street, 24Th Floor Boston MA 02109 | Md, National Sales Manager | 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 | 2013-02-11 | 22,348 | $19.74 | 22,348 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-02-11 | 22,348 | $32.71 | 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 | 2013-02-11 | 22,348 | $0.00 | 22,348 | $19.74 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 32,652 | 2019-06-12 | No | 4 | M | Direct |
Footnotes
- Fully vested as of June 12, 2012.
Billionaire Hedge Funds
