0001209191-11-030833.txt : 20110525 0001209191-11-030833.hdr.sgml : 20110525 20110525100801 ACCESSION NUMBER: 0001209191-11-030833 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110523 FILED AS OF DATE: 20110525 DATE AS OF CHANGE: 20110525 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Dwyer William E III CENTRAL INDEX KEY: 0001405121 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 11869759 MAIL ADDRESS: STREET 1: C/O ONE BEACON STREET STREET 2: 22ND FLOOR CITY: BOSTON STATE: MA ZIP: 02108 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 X0303 4 2011-05-23 0 0001397911 LPL Investment Holdings Inc. LPLA 0001405121 Dwyer William E III C/O LPL INVESTMENT HOLDINGS INC. ONE BEACON STREET BOSTON MA 02108 0 1 0 0 Pres., Nat'l Sales & Mktg. Common Stock 2011-05-23 4 M 0 95150 1.35 A 313633 D Stock Option (Right to Buy) 1.35 2011-05-23 4 M 0 95150 0.00 A 2013-11-30 Common Stock 95150 0 D The Reporting Person also indirectly beneficially owns 233,116 shares of Common Stock held by GRATS and family trusts. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest, if any, therein. Fully vested as of 11/30/2008 /s/ William E. Dwyer III 2011-05-25