Filing Details

Accession Number:
0001397911-13-000103
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-12-11 17:29:29
Reporting Period:
2013-12-09
Filing Date:
2013-12-11
Accepted Time:
2013-12-11 17:29:29
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 2013-12-09 18,898 $44.00 205,382 No 4 S Direct
Common Stock Disposition 2013-12-10 11,102 $44.00 194,280 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
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 December 14, 2012.