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