-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, BGM5t25VqMpbBv9VqkH+2cFq/DgEmFneiiJyiLNPYVnZwmz8bZvHx2TTfShXJogV EYB/2BtssFgPsTetkE+jJg== 0000904454-10-000497.txt : 20101203 0000904454-10-000497.hdr.sgml : 20101203 20101203181651 ACCESSION NUMBER: 0000904454-10-000497 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101201 FILED AS OF DATE: 20101203 DATE AS OF CHANGE: 20101203 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RIEPE JAMES S CENTRAL INDEX KEY: 0001203072 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 101232641 MAIL ADDRESS: STREET 1: GENWORTH FINANCIAL, INC. STREET 2: 6620 WEST BROAD STREET CITY: RICHMOND STATE: VA ZIP: 23230 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LPL Investment 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: ONE BEACON STREET , FLOOR 22 CITY: BOSTON STATE: MA ZIP: 02108 BUSINESS PHONE: 617 423 3644 MAIL ADDRESS: STREET 1: ONE BEACON STREET , FLOOR 22 CITY: BOSTON STATE: MA ZIP: 02108 4 1 edgar.xml PRIMARY DOCUMENT X0303 4 2010-12-01 0001397911 LPL Investment Holdings Inc. LPLA 0001203072 RIEPE JAMES S C/O LPL INVESTMENT HOLDINGS INC. ONE BEACON STREET BOSTON MA 02108 1 0 0 0 Common Stock 2010-12-01 4 A 0 1428 0 A 39535 D These shares represent restricted stock that was granted under the Issuer's 2010 Omnibus Equity Incentive Plan. This restricted stock shall be fully vested on the second anniversary of the transaction date. The Reporting Person also indirectly beneficially owns 35,971 shares of Common Stock held through Stone Barn LLC. /s/ Chad D. Perry, as Attorney-in-Fact 2010-12-02 -----END PRIVACY-ENHANCED MESSAGE-----