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