0001209191-12-015816.txt : 20120305
0001209191-12-015816.hdr.sgml : 20120305
20120305182132
ACCESSION NUMBER: 0001209191-12-015816
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120302
FILED AS OF DATE: 20120305
DATE AS OF CHANGE: 20120305
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: 12668056
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
2012-03-02
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
2012-03-02
4
M
0
35098
1.35
A
399010
D
Common Stock
2012-03-02
4
S
0
35098
34.16
D
363912
D
Option to Purchase Common Stock
1.35
2012-03-02
4
M
0
35098
0.00
D
2013-11-30
Common Stock
35098
0
D
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.99 to $34.48, inclusive. The reporting person undertakes to provide to LPL Investment Holdings Inc., any security holder of LPL Investment Holdings Inc., or the staff of the Securities and Exchange Commission, uipon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (1) to this Form 4.
Fully vested as of 11/30/2008
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
2012-03-05