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