Filing Details
- Accession Number:
- 0001209191-13-021250
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-04-12 16:06:48
- Reporting Period:
- 2013-04-10
- Filing Date:
- 2013-04-12
- Accepted Time:
- 2013-04-12 16:06:48
- 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 |
|---|---|---|---|---|---|---|---|
| 1405298 | S James Putnam | C/O Lpl Financial Holdings Inc. 75 State Street Boston MA 02109 | 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 | Disposition | 2013-04-10 | 25,000 | $34.01 | 343,097 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-04-10 | 40,000 | $34.01 | 182,197 | No | 4 | S | Indirect | Held by Reporting Person's Spouse |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Indirect | Held by Reporting Person's Spouse |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.00 to $34.09, 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, upon 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.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.00 to $34.11, 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, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (2) to this Form 4.
- The Reporting Person disclaims beneficial ownership of these shares.
Billionaire Hedge Funds
