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
  1. 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.
  2. Includes 32,914 shares previously reported by the Reporting Person as indirectly held by the Mark S. Casady 2014 Grantor Retained Annuity Trust.
  3. 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.