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