0001209191-12-009464.txt : 20120213
0001209191-12-009464.hdr.sgml : 20120213
20120213142214
ACCESSION NUMBER: 0001209191-12-009464
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120209
FILED AS OF DATE: 20120213
DATE AS OF CHANGE: 20120213
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Goldstein Jeffrey A
CENTRAL INDEX KEY: 0001375299
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 12597979
MAIL ADDRESS:
STREET 1: HELLMAN & FRIEDMAN LLC
STREET 2: 375 PARK AVENUE, 20TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10152
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
doc4.xml
FORM 4 SUBMISSION
X0304
4
2012-02-09
0
0001397911
LPL Investment Holdings Inc.
LPLA
0001375299
Goldstein Jeffrey A
C/O LPL INVESTMENT HOLDINGS INC.
ONE BEACON STREET
BOSTON
MA
02108
1
0
0
0
Common Stock, par value $0.001 per share
2012-02-09
4
A
0
1550
0.00
A
1550
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. This restricted stock is being held for the benefit of Hellman & Friedman Capital Partners V, L.P. ("HFCP V") and Hellman & Friedman Capital Partners V (Parallel), L.P. ("HFCP V Parallel" and, together with HFCP V, the "H&F Funds"). The proceeds of any disposition of these securities will be applied against management fees purusant to the applicable partnership agreement.
This Common Stock is held by the Reporting Person for the benefit of the H&F Funds. Investors V is the sole general partner of each of the H&F Funds. Hellman & Friedman LLC ("H&F LLC" and, together with the H&F Funds, the "H&F Entities") is the sole general partner of Investors V.
A four member investment committee of H&F LLC has investment discretion over such shares. The Reporting Person is a managing director of H&F LLC, but he is not a member of the investment committee. The Reporting Person disclaims beneficial ownership of the Common Stock beneficially owned by the HF Entities, except to the extent of his pecuniary interest, if any, therein.
/s/ Jeffrey A. Goldstein
2012-02-13