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