4//SEC Filing
LPL Financial Holdings Inc. 4
Accession 0001140361-13-034902
$LPLACIK 0001397911operating
Filed
Sep 2, 8:00 PM ET
Accepted
Sep 3, 7:57 PM ET
Size
10.7 KB
Accession
0001140361-13-034902
Insider Transaction Report
Form 4
BOYCE RICHARD W
Director
Transactions
- Other
Common Stock, par value $0.001 per share
2013-08-29+16,186→ 51,130 total
Footnotes (3)
- [F1]The shares of Common Stock (each a "Share") of LPL Financial Holdings Inc. (the "Issuer") reported herein were received in a pro rata distribution of Shares from each of TPG Equity IV-A, L.P. ("Equity IV-A") and TPG GenPar IV, L.P. ("GenPar IV"). Of the Shares reported herein, 3,290 Shares were received from Equity IV-A and 12,896 Shares were received from GenPar IV.
- [F2]Mr. Boyce is a TPG partner. TPG is affiliated with each of TPG Holdings I, L.P. ("Holdings I"), which holds 541,459 Shares (the "Holdings I Shares"), TPG Partners IV, L.P. ("Partners IV"), which holds 16,753,402 Shares (the "Partners IV Shares"), TPG Coinvestment IV, L.P. ("Coinvestment IV"), which holds 1,654 Shares (the "Coinvestment IV Shares"), and TPG Associates IV, L.P. ("TPG Associates IV" and, together with Holdings I, Partners IV and Coinvestment IV, the "TPG Shareholders"), which holds 2,068 Shares (the "Associates IV Shares" and together with the Holdings I Shares, the Partners IV Shares and the Coinvestment IV Shares, the "TPG Shares").
- [F3]Mr. Boyce disclaims beneficial ownership of the TPG Shares and any Shares that are or may be beneficially owned by any affiliate of the TPG Shareholders. Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that Mr. Boyce is, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities of the Issuer directly held by any of the TPG Shareholders or any of their respective affiliates.
Documents
Issuer
LPL Financial Holdings Inc.
CIK 0001397911
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001397911
Filing Metadata
- Form type
- 4
- Filed
- Sep 2, 8:00 PM ET
- Accepted
- Sep 3, 7:57 PM ET
- Size
- 10.7 KB