0001397911-15-000138.txt : 20150528
0001397911-15-000138.hdr.sgml : 20150528
20150528171142
ACCESSION NUMBER: 0001397911-15-000138
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150528
FILED AS OF DATE: 20150528
DATE AS OF CHANGE: 20150528
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: Casady Mark S
CENTRAL INDEX KEY: 0001405275
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 15896309
MAIL ADDRESS:
STREET 1: C/O ONE BEACON STREET
STREET 2: 22ND FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02108
4
1
wf-form4_143284749298123.xml
FORM 4
X0306
4
2015-05-28
0
0001397911
LPL Financial Holdings Inc.
LPLA
0001405275
Casady Mark S
C/O LPL FINANCIAL HOLDINGS INC.
75 STATE STREET
BOSTON
MA
02109
1
1
0
0
Chairman & Chief Exec. Officer
Common Stock
2015-05-28
4
P
0
21100
42.4802
A
63871
D
Common Stock
67086
I
Held through GRAT
The price reported in Column 4 is a weighted average price. These shares were purchased at prices ranging from $42.45 to $42.50, 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 purchased at each separate price within the ranges set forth in this footnote (1) to this Form 4.
Includes 32,914 shares previously reported by the Reporting Person as indirectly held by the Mark S. Casady 2014 Grantor Retained Annuity Trust.
The Reporting Person holds these shares through the Mark S. Casady 2014 Grantor Retained Annuity Trust and disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
/s/ Mark S. Casady
2015-05-28