0001209191-13-021250.txt : 20130412
0001209191-13-021250.hdr.sgml : 20130412
20130412160648
ACCESSION NUMBER: 0001209191-13-021250
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130410
FILED AS OF DATE: 20130412
DATE AS OF CHANGE: 20130412
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Putnam James S
CENTRAL INDEX KEY: 0001405298
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 13758815
MAIL ADDRESS:
STREET 1: ONE BEACON STREET
STREET 2: SUITE 21
CITY: BOSTON
STATE: MA
ZIP: 02108
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
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2013-04-10
0
0001397911
LPL Financial Holdings Inc.
LPLA
0001405298
Putnam James S
C/O LPL FINANCIAL HOLDINGS INC.
75 STATE STREET
BOSTON
MA
02109
1
0
0
0
Common Stock
2013-04-10
4
S
0
25000
34.01
D
343096.5
D
Common Stock
2013-04-10
4
S
0
40000
34.01
D
182197
I
Held by Reporting Person's Spouse
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.00 to $34.09, 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.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.00 to $34.11, 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.
The Reporting Person disclaims beneficial ownership of these shares.
/s/ Stephanie L. Brown, as Attorney-in-Fact
2013-04-12