0001209191-13-012441.txt : 20130228 0001209191-13-012441.hdr.sgml : 20130228 20130228165256 ACCESSION NUMBER: 0001209191-13-012441 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130227 FILED AS OF DATE: 20130228 DATE AS OF CHANGE: 20130228 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LPL Financial Holdings Inc. CENTRAL INDEX KEY: 0001397911 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200] IRS NUMBER: 203717839 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 75 STATE STREET STREET 2: 24TH FLOOR CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 617 423 3644 MAIL ADDRESS: STREET 1: 75 STATE STREET STREET 2: 24TH FLOOR CITY: BOSTON STATE: MA ZIP: 02109 FORMER COMPANY: FORMER CONFORMED NAME: LPL Investment Holdings Inc. DATE OF NAME CHANGE: 20070427 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STIEFLER JEFFREY E CENTRAL INDEX KEY: 0001227965 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 13653015 MAIL ADDRESS: STREET 1: C/O INTUIT INC. STREET 2: 2700 COAST AVENUE CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2013-02-27 0 0001397911 LPL Financial Holdings Inc. LPLA 0001227965 STIEFLER JEFFREY E C/O LPL FINANCIAL HOLDINGS INC. 75 STATE STREET BOSTON MA 02109 1 0 0 0 Common Stock, par value $0.001 per share 2013-02-27 4 S 0 25000 31.41 D 52019 I By Stiefler Trust U/T/D 5/31/2007 Common Stock, par value $0.001 per share 6584 D The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.26 to $31.66, 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 (1) to this Form 4. /s/ Stephanie L. Brown, as Attorney-in-Fact 2013-02-28