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LPLA > SEC Filings for LPLA > Form 8-K on 30-Oct-2013All Recent SEC Filings

Show all filings for LPL FINANCIAL HOLDINGS INC.



Results of Operations and Financial Condition

Item 2.02 Results of Operations and Financial Condition.

On October 30, 2013, LPL Financial Holdings Inc. (the "Company") issued a press release announcing its financial results for the quarter ended September 30, 2013. A copy of the press release is furnished with this Form 8-K and attached hereto as Exhibit 99.1.
Exhibit 99.1 shall not be deemed "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise subject to the liabilities under that Section and shall not be deemed to be incorporated by reference into any filing of the Company under the Securities Act of 1933, as amended, or the Exchange Act. Item 8.01 Other Events.

Mark S. Casady, Chairman and Chief Executive Officer of the Company, expects to transfer 520,000 shares of the Company's common stock to an irrevocable trust on November 1, 2013 in connection with his estate planning. As of October 30, 2013, Mr. Casady directly held 1,039,671 shares of common stock, indirectly held 49,071 shares of common stock and held vested and unvested options for the purchase of 690,952 shares of common stock. Item 9.01 Financial Statements and Exhibits.
(d) Exhibits

99.1 Press Release dated October 30, 2013 ("LPL Financial Announces Financial Results for Third Quarter 2013")

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