0001209191-11-059489.txt : 20111205
0001209191-11-059489.hdr.sgml : 20111205
20111205163023
ACCESSION NUMBER: 0001209191-11-059489
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20111201
FILED AS OF DATE: 20111205
DATE AS OF CHANGE: 20111205
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SCHIFTER RICHARD P
CENTRAL INDEX KEY: 0001249554
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 111243327
MAIL ADDRESS:
STREET 1: 301 COMMERCE STREET
STREET 2: SUITE 3300
CITY: FORT WORTH
STATE: TX
ZIP: 76102
4
1
doc4.xml
FORM 4 SUBMISSION
X0304
4
2011-12-01
0
0001397911
LPL Investment Holdings Inc.
LPLA
0001249554
SCHIFTER RICHARD P
C/O TPG CAPITAL, L.P.,
301 COMMERCE STREET, SUITE 3300
FORT WORTH
TX
76102
1
0
0
0
Common Stock
2011-12-01
4
A
0
1667
0.00
A
3180
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.
Mr. Schifter is a partner of TPG Capital, L.P., which is affiliated with TPG Partners IV, L.P. ("TPG IV"), a Delaware limited partnership. As disclosed on a Form 3 filed with the Securities and Exchange Commission on April 24, 2009 by TPG Advisors IV, Inc., an affiliate of TPG IV, TPG IV directly holds 34,210,185.1 shares of Common Stock. Mr. Schifter disclaims beneficial ownership of the shares of Common Stock that are or may be beneficially owned by TPG IV or any of its affiliates, including TPG Advisors IV, Inc. or TPG Group Holdings (SBS) Advisors, Inc. 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. Schifter 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 TPG IV or any of its affiliates.
/s/ Stephanie L. Brown, as Attorney-in-Fact
2011-12-05