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