0001181431-13-031726.txt : 20130530
0001181431-13-031726.hdr.sgml : 20130530
20130530200601
ACCESSION NUMBER: 0001181431-13-031726
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130529
FILED AS OF DATE: 20130530
DATE AS OF CHANGE: 20130530
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: HELLMAN & FRIEDMAN CAPITAL V LP
CENTRAL INDEX KEY: 0001299380
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 13883291
BUSINESS ADDRESS:
STREET 1: ONE MARITIME PLAZA
STREET 2: 12TH FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 4157885111
MAIL ADDRESS:
STREET 1: ONE MARITIME PLAZA
STREET 2: 12TH FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Hellman & Friedman Capital Associates V, L.P.
CENTRAL INDEX KEY: 0001462332
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 13883289
BUSINESS ADDRESS:
STREET 1: ONE MARITIME PLAZA, 12TH FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 415-788-5111
MAIL ADDRESS:
STREET 1: ONE MARITIME PLAZA, 12TH FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
FORMER NAME:
FORMER CONFORMED NAME: Hellman & Friedman Capital Associates V, LLC
DATE OF NAME CHANGE: 20090421
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Hellman & Friedman Capital Partners V (Parallel), L.P.
CENTRAL INDEX KEY: 0001462333
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 13883290
BUSINESS ADDRESS:
STREET 1: ONE MARITIME PLAZA, 12TH FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 415-788-5111
MAIL ADDRESS:
STREET 1: ONE MARITIME PLAZA, 12TH FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Hellman & Friedman Investors V, L.P.
CENTRAL INDEX KEY: 0001462334
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 13883293
BUSINESS ADDRESS:
STREET 1: ONE MARITIME PLAZA
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 415-788-5111
MAIL ADDRESS:
STREET 1: ONE MARITIME PLAZA
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
FORMER NAME:
FORMER CONFORMED NAME: Hellman & Friedman Investors V, LLC
DATE OF NAME CHANGE: 20090421
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Hellman & Friedman LLC
CENTRAL INDEX KEY: 0001462335
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 13883292
BUSINESS ADDRESS:
STREET 1: ONE MARITIME PLAZA, 12TH FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 415-788-5111
MAIL ADDRESS:
STREET 1: ONE MARITIME PLAZA, 12TH FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
4
1
rrd381605.xml
FORM 4
X0306
4
2013-05-29
0
0001397911
LPL Financial Holdings Inc.
LPLA
0001462335
Hellman & Friedman LLC
ONE MARITIME PLAZA, 12TH FLOOR
SAN FRANCISCO
CA
94111
1
0
1
0
0001299380
HELLMAN & FRIEDMAN CAPITAL V LP
ONE MARITIME PLAZA, 12TH FLOOR
SAN FRANCISCO
CA
94111
1
0
1
0
0001462333
Hellman & Friedman Capital Partners V (Parallel), L.P.
ONE MARITIME PLAZA, 12TH FLOOR
SAN FRANCISCO
CA
94111
1
0
1
0
0001462332
Hellman & Friedman Capital Associates V, L.P.
ONE MARITIME PLAZA, 12TH FLOOR
SAN FRANCISCO
CA
94111
1
0
1
0
0001462334
Hellman & Friedman Investors V, L.P.
ONE MARITIME PLAZA, 12TH FLOOR
SAN FRANCISCO
CA
94111
1
0
1
0
Common Stock, par value $0.001 per share
2013-05-29
4
J
0
5495000
0
D
11108824
I
See Footnotes
Common Stock, par value $0.001 per share
2013-05-29
4
J
0
751875
0
D
1520008
I
See Footnotes
Common Stock, par value $0.001 per share
2013-05-29
4
J
0
3125
0
D
6311
I
See Footnotes
Common Stock, par value $0.001 per share
2013-05-29
4
J
0
1176107
0
D
0
I
See Footnotes
Hellman & Friedman Capital Partners V, L.P. ("HFCP V") has agreed to distribute these shares of Common Stock to the limited partners and the general partner of HFCP V in accordance with their pro rata interests in HFCP V.
These shares of Common Stock are held by HFCP V and include indirect beneficial interest in the shares of Common Stock held by Hellman & Friedman LP ("H&F LP").
Hellman & Friedman Capital Partners V (Parallel), L.P. ("HFCP V Parallel") has agreed to distribute these shares of Common Stock to the limited partners and the general partner of HFCP V Parallel in accordance with their pro rata interests in HFCP V Parallel.
These shares of Common Stock are held by HFCP V Parallel and include indirect beneficial interest in the shares of Common Stock held by H&F LP.
Hellman & Friedman Capital Associates V, L.P. ("Associates V") has agreed to distribute these shares of Common Stock to the limited partners of Associates V in accordance with their pro rata interests in Associates V.
These shares of Common Stock are held by Associates V.
Hellman & Friedman Investors V, L.P. ("Investors V") is the sole general partner of each of HFCP V and HFCP V Parallel. Investors V has agreed to distribute the shares of Common Stock that it receives in connection with the distributions by HFCP V and HFCP V Parallel to the limited partners of Investors V in accordance with their pro rata interests in Investors V.
These shares of Common Stock are held by Investors V.
As the sole general partner of HFCP V and HFCP V Parallel, Investors V may be deemed to beneficially own shares of Common Stock beneficially owned by HFCP V and HFCP V Parallel. As the sole general partner of Associates V and Investors V, Hellman & Friedman LLC ("H&F LLC") may be deemed to beneficially own shares of Common Stock beneficially owned by Associates V and Investors V.
A four member investment committee of H&F LLC has investment discretion over shares of Common Stock beneficially owned by H&F LLC, Investors V, HFCP V, HFCP V Parallel and Associates V. Each member of the investment committee of H&F LLC disclaims beneficial ownership of the reported shares beneficially owned by H&F LLC, Investors V, HFCP V, HFCP V Parallel and Associates V, except to the extent of such member's pecuniary interest therein, if any.
Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934, as amended, each Reporting Person states that this filing shall not be an admission that such Reporting Person is the beneficial owner of any of the securities reported herein, and such Reporting Person disclaims beneficial ownership of such securities except to the extent of such Reporting Person's pecuniary interest therein.
/s/ Allen R. Thorpe as Managing Director of Hellman & Friedman LLC
2013-05-29
/s/ Allen R. Thorpe as Managing Director of Hellman & Friedman LLC, as General Partner of Hellman & Friedman Investors V, L.P., as General Partner of Hellman & Friedman Capital Partners V, L.P.
2013-05-29
/s/ Allen R. Thorpe as Managing Director of Hellman & Friedman LLC, as General Partner of Hellman & Friedman Investors V, L.P., as General Partner of Hellman & Friedman Capital Partners V (Parallel), L.P.
2013-05-29
/s/ Allen R. Thorpe as Managing Director of Hellman & Friedman LLC, as General Partner of Hellman & Friedman Capital Associates V, L.P.
2013-05-29
/s/ Allen R. Thorpe as Managing Director of Hellman & Friedman LLC, as General Partner of Hellman & Friedman Investors V, L.P.
2013-05-29