0001397911-13-000050.txt : 20130517
0001397911-13-000050.hdr.sgml : 20130517
20130517162818
ACCESSION NUMBER: 0001397911-13-000050
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130515
FILED AS OF DATE: 20130517
DATE AS OF CHANGE: 20130517
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: 13855466
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
wf-form4_136882248608800.xml
FORM 4
X0306
4
2013-05-15
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
2013-05-15
4
S
0
30000
38
D
283096.50
D
Common Stock
2013-05-15
4
S
0
45000
38
D
97197
I
Held by Reporting Person's spouse
The sales reported in this Form 4 were effected pursuant to Rule 10b5-1 trading plans adopted by the reporting person and his spouse on December 14, 2012.
The Reporting Person disclaims beneficial ownership of these shares.
/s/ Stephanie L. Brown, as
Attorney-in-Fact
2013-05-17