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As Of Filer Filing For·On·As Docs:Size Issuer Agent 11/17/10 LPL Financial Holdings Inc. S-1MEF 11/17/10 3:49K RR Donnelley/FA |
Document/Exhibit Description Pages Size 1: S-1MEF Registration of Additional Securities HTML 34K 2: EX-5.1 Opinion re: Legality HTML 9K 3: EX-23.2 Consent of Experts or Counsel HTML 7K
sv1mef |
Delaware | 6200 | 20-3717839 | ||
(State or other jurisdiction
of incorporation or organization) |
(Primary Standard Industrial Classification Code Number) |
(I.R.S. Employer Identification No.) |
Julie H. Jones, Esq. Keith F. Higgins, Esq. Ropes & Gray LLP Prudential Tower 800 Boylston Street Boston, MA 02199 Telephone (617) 951-7000 Fax (617) 951-7050 |
William F. Gorin, Esq. Cleary Gottlieb Steen & Hamilton LLP One Liberty Plaza New York, NY 10006 Telephone (212) 225-2000 Fax (212) 225-3999 |
Large accelerated
filer o
|
Accelerated filer o | Non-accelerated filer þ | Smaller reporting company o | |||
(Do not check if a smaller reporting company) |
Proposed Maximum |
Proposed Maximum |
Amount of |
||||||||||
Title of Each Class of |
Amount to be |
Offering Price |
Aggregate |
Registration |
||||||||
Securities to be Registered | Registered | Per Share | Offering Price(2) | Fee | ||||||||
Common Stock, $0.001 par value per share
|
47,035(1) | $30 | $1,411,050 | $100.61 | ||||||||
(1) | Includes shares of common stock issuable upon exercise of an option to purchase additional shares granted to underwriters. | |
(2) | Estimated solely for the purpose of calculating the registration fee pursuant to Rule 457(a) under the Securities Act, based on an estimate of the proposed maximum aggregate offering price. |
By: |
/s/ Mark
S. Casady
|
Signature
|
Title
|
Date
|
||||
* Mark S. Casady |
Chief Executive Officer and Chairman (Principal Executive Officer) | November 17, 2010 | ||||
* Robert J. Moore |
Chief Financial Officer and Treasurer (Principal Financial Officer) |
November 17, 2010 | ||||
* Thomas D. Lux |
Chief Accounting Officer (Principal Accounting Officer) |
November 17, 2010 | ||||
* John J. Brennan |
Director | November 17, 2010 | ||||
* Richard W. Boyce |
Director | November 17, 2010 | ||||
* James S. Putnam |
Director, Vice Chairman | November 17, 2010 | ||||
* Erik D. Ragatz |
Director | November 17, 2010 | ||||
* James S. Riepe |
Director | November 17, 2010 | ||||
* Richard P. Schifter |
Director | November 17, 2010 |
Signature
|
Title
|
Date
|
||||
* Jeffrey E. Stiefler |
Director | November 17, 2010 | ||||
* Allen R. Thorpe |
Director | November 17, 2010 | ||||
*By: |
/s/ Mark
S. Casady Mark S. Casady Attorney-in-fact |
Exhibit |
||||
No.
|
Description
|
|||
5 | .1 | Opinion of Ropes & Gray LLP | ||
23 | .1 | Consent of Ropes & Gray LLP (included in Exhibit 5.1) | ||
23 | .2 | Consent of Deloitte & Touche LLP | ||
24 | .1* | Powers of Attorney |
* | Filed as Exhibit 24.1 to the Registrant’s Registration Statement on Form S-1 (File No. 333-167325) filed with the Commission on June 4, 2010. |
This ‘S-1MEF’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on / Effective on: | 11/17/10 | 4, 8-K | ||
6/4/10 | S-1 | |||
List all Filings |