0001209191-12-051281.txt : 20121102
0001209191-12-051281.hdr.sgml : 20121102
20121102105825
ACCESSION NUMBER: 0001209191-12-051281
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20121031
FILED AS OF DATE: 20121102
DATE AS OF CHANGE: 20121102
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Brown Stephanie L
CENTRAL INDEX KEY: 0001405364
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 121175528
MAIL ADDRESS:
STREET 1: C/O ONE BEACON STREET
STREET 2: 22ND FLOOR
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
2012-10-31
0
0001397911
LPL Financial Holdings Inc.
LPLA
0001405364
Brown Stephanie L
C/O LPL FINANCIAL HOLDINGS INC.
75 STATE STREET, 24TH FLOOR
BOSTON
MA
02109
0
1
0
0
MD & General Counsel
Common Stock
2012-10-31
4
S
0
1008
29.02
D
621596.8
D
Common Stock
2012-11-01
4
S
0
5122
29.17
D
616474.8
D
The sales reported in this Form 4 were effected pursuant to Rule 10b5-1 trading plans adopted by the reporting person on September 14, 2012.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.91 to $29.12, 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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.94 to $29.72, 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 (3) to this Form 4.
/s/ Stephanie L. Brown
2012-11-02