0001209191-12-016768.txt : 20120308
0001209191-12-016768.hdr.sgml : 20120308
20120308144912
ACCESSION NUMBER: 0001209191-12-016768
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120306
FILED AS OF DATE: 20120308
DATE AS OF CHANGE: 20120308
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: 12677051
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
2012-03-06
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
2012-03-06
4
M
0
64700
1.49
A
429142
D
Option to Purchase Common Stock
1.49
2012-03-06
4
M
0
64700
0.00
D
2014-05-31
Common Stock
64700
603220
D
Fully vested as of 5/31/2009.
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
2012-03-08