0001397911-14-000020.txt : 20140214
0001397911-14-000020.hdr.sgml : 20140214
20140214181507
ACCESSION NUMBER: 0001397911-14-000020
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140214
FILED AS OF DATE: 20140214
DATE AS OF CHANGE: 20140214
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: Casady Mark S
CENTRAL INDEX KEY: 0001405275
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 14619582
MAIL ADDRESS:
STREET 1: C/O ONE BEACON STREET
STREET 2: 22ND FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02108
4
1
wf-form4_139241969543922.xml
FORM 4
X0306
4
2014-02-14
0
0001397911
LPL Financial Holdings Inc.
LPLA
0001405275
Casady Mark S
C/O LPL FINANCIAL HOLDINGS INC.
75 STATE STREET
BOSTON
MA
02109
1
1
0
0
Chairman & Chief Exec. Officer
Common Stock
2014-02-14
5
G
0
E
150000
0
D
309857
D
Common Stock
100000
I
Held through GRAT
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.
/s/ Mark S. Casady
2014-02-14