Filing Details
- Accession Number:
- 0001397911-13-000050
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-05-17 16:28:18
- Reporting Period:
- 2013-05-15
- Filing Date:
- 2013-05-17
- Accepted Time:
- 2013-05-17 16:28:18
- 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 | 2013-05-15 | 30,000 | $38.00 | 283,097 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-05-15 | 45,000 | $38.00 | 97,197 | 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 sales reported in this Form 4 were effected pursuant to Rule 10b5-1 trading plans adopted by the reporting person and his spouse on December 14, 2012.
- The Reporting Person disclaims beneficial ownership of these shares.
Billionaire Hedge Funds
