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