Filing Details
- Accession Number:
- 0001397911-15-000138
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-05-28 17:11:42
- Reporting Period:
- 2015-05-28
- Filing Date:
- 2015-05-28
- Accepted Time:
- 2015-05-28 17:11:42
- 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 |
---|---|---|---|---|---|---|---|
1405275 | S Mark Casady | C/O Lpl Financial Holdings Inc. 75 State Street Boston MA 02109 | Chairman & Chief Exec. Officer | Yes | 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 | 2015-05-28 | 21,100 | $42.48 | 63,871 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 67,086 | Indirect | Held through GRAT |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were purchased at prices ranging from $42.45 to $42.50, 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 purchased at each separate price within the ranges set forth in this footnote (1) to this Form 4.
- Includes 32,914 shares previously reported by the Reporting Person as indirectly held by the Mark S. Casady 2014 Grantor Retained Annuity Trust.
- The Reporting Person holds these shares through the Mark S. Casady 2014 Grantor Retained Annuity Trust and disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.