0001209191-12-026778.txt : 20120508
0001209191-12-026778.hdr.sgml : 20120508
20120508200715
ACCESSION NUMBER: 0001209191-12-026778
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120507
FILED AS OF DATE: 20120508
DATE AS OF CHANGE: 20120508
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: 12823371
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
X0305
4
2012-05-07
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
President, Nat'l Sales
Common Stock
2012-05-07
4
M
0
603220
1.49
A
1032362
D
Common Stock
2012-05-07
4
M
0
24026
27.80
A
1056388
D
Common Stock
2012-05-07
4
M
0
20000
22.08
A
1076388
D
Common Stock
2012-05-07
4
F
0
303411
34.39
D
772977
D
Common Stock
233116
I
Held through GRATs and Family Trusts
Option to Purchase Common Stock
1.49
2012-05-07
4
M
0
603220
0.00
D
2014-05-31
Common Stock
603220
0
D
Option to Purchase Common Stock
27.80
2012-05-07
4
M
0
24026
0.00
D
2018-02-05
Common Stock
24026
10974
D
Option to Purchase Common Stock
22.08
2012-05-07
4
M
0
20000
0.00
D
2019-09-14
Common Stock
20000
30000
D
The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest, if any, therein.
Fully vested as of 5/31/2006.
28,000 of these options were exercisable as of February 5, 2012. The remainder of the option shall become exercisable on February 5, 2013.
20,000 of these options were exercisable as of September 14, 2011. The remainder of the option shall become exercisable in increments of 10,000 shares on each of September 14, 2012, 2013 and 2014.
/s/ William E. Dwyer III
2012-05-08