0001209191-12-056641.txt : 20121210 0001209191-12-056641.hdr.sgml : 20121210 20121210160904 ACCESSION NUMBER: 0001209191-12-056641 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121206 FILED AS OF DATE: 20121210 DATE AS OF CHANGE: 20121210 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Feeney Christopher CENTRAL INDEX KEY: 0001487484 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 121253241 MAIL ADDRESS: STREET 1: C/O LPL INVESTMENT HOLDINGS INC. STREET 2: ONE BEACON STREET 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 2012-12-06 0 0001397911 LPL Financial Holdings Inc. LPLA 0001487484 Feeney Christopher C/O LPL FINANCIAL HOLDINGS INC. 75 STATE STREET, 24TH FLOOR BOSTON MA 02109 0 1 0 0 MD, Chief Information Officer Common Stock 2012-12-06 4 M 0 9000 18.04 A 9000 D Common Stock 2012-12-06 4 S 0 9000 28.07 D 0 D Option to Purchase Common Stock 18.04 2012-12-06 4 M 0 9000 0.00 D 2019-02-12 Common Stock 9000 16700 D The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.02 to $28.12, 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, uipon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (1) to this Form 4. This option is currently exercisable for 18,000 shares. An additional 6,000 shares will become exercisable on each of February 12, 2013 and 2014. /s/ Christopher Feeney 2012-12-10