0001209191-12-012878.txt : 20120224
0001209191-12-012878.hdr.sgml : 20120224
20120224161532
ACCESSION NUMBER: 0001209191-12-012878
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120222
FILED AS OF DATE: 20120224
DATE AS OF CHANGE: 20120224
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: 12638364
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
X0304
4
2012-02-22
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
2012-02-22
4
M
0
95149
0.00
A
402258
D
Common Stock
2012-02-22
4
F
0
38346
32.60
D
363912
D
Restricted Stock Units
0.00
2012-02-22
4
M
0
95149
0.00
D
Common Stock
95149
0
D
Each stock unit is a bookkeeping entry of which one stock unit is the economic equivalent of one share of Issuer's common stock.
Restricted Stock Units are fully vested, except that accounts are forfeited if the holder is terminated for cause. Distribution of units occurs at the earliest to occur of death, disability, change in control (as defined in the 2008 Deferred Compensation Plan) or February 22, 2012. Settlement is made within 90 days of the distribution event (or, with respect to the settlement in 2012, by the end of the calendar year).
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.
/s/ William E. Dwyer, III
2012-02-24