Filing Details
- Accession Number:
- 0000904454-10-000402
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-11-19 19:27:11
- Reporting Period:
- 2010-11-17
- Filing Date:
- 2010-11-19
- Accepted Time:
- 2010-11-19 19:27:11
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1397911 | Lpl Investment Holdings Inc. | LPLA | Security & Commodity Brokers, Dealers, Exchanges & Services (6200) | 203717839 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1405121 | Iii E William Dwyer | C/O Lpl Investment Holdings Inc. One Beacon Street Boston MA 02108 | Md & Pres., Nat'l Sales&Mktg | 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 | 2010-11-17 | 13,360 | $2.07 | 61,560 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2010-11-17 | 554,380 | $1.88 | 615,940 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2010-11-17 | 312,257 | $30.00 | 303,683 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| 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 | Stock Option (Right to Buy) | Acquisiton | 2010-11-17 | 13,360 | $0.00 | 13,360 | $2.07 |
| Common Stock | Stock Option (Right to Buy) | Acquisiton | 2010-11-17 | 554,380 | $0.00 | 554,380 | $1.88 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2012-01-15 | No | 4 | M | Direct | |
| 0 | 2013-05-02 | No | 4 | M | Direct |
Footnotes
- Adjusted to reflect the 10-for-1 stock split effected by the Issuer on 01/01/2008.
- Fully vested as of 12/28/2007.
- The Reporting Person also indirectly beneficially owns 207,916.4 shares of Common Stock held by GRATS and family trusts. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest, if any, therein.
Billionaire Hedge Funds
