Filing Details

Accession Number:
0001209191-12-036593
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-07-03 13:10:21
Reporting Period:
2012-06-29
Filing Date:
2012-07-03
Accepted Time:
2012-07-03 13:10:21
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
1405364 L Stephanie Brown C/O Lpl Financial Holdings Inc.
75 State Street, 24Th Floor
Boston MA 02109
Md & General Counsel 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 Disposition 2012-06-29 11,000 $33.83 622,605 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
Footnotes
  1. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 28, 2011 and modified on February 10, 2012.
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.54 to $33.96, 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.