0001209191-11-058959.txt : 20111202
0001209191-11-058959.hdr.sgml : 20111202
20111202115701
ACCESSION NUMBER: 0001209191-11-058959
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20111130
FILED AS OF DATE: 20111202
DATE AS OF CHANGE: 20111202
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Casady Mark S
CENTRAL INDEX KEY: 0001405275
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 111239285
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
2011-11-30
0
0001397911
LPL Investment Holdings Inc.
LPLA
0001405275
Casady Mark S
C/O LPL INVESTMENT HOLDINGS INC.
ONE BEACON STREET
BOSTON
MA
02108
1
1
0
0
Chairman & Chief Exec. Officer
Common Stock
2011-11-30
4
S
0
19016
30.00
D
1281117
D
Common Stock
2011-12-01
4
S
0
984
30.00
D
1280133
D
The Reporting Person also holds (i) 92,000 shares of the Issuer's common stock indirectly through two trusts for the benefit of the Reporting Person's children and disclaims beneficial ownership of such securities and (ii) 49,071 shares of the Issuer's common stock indirectly through the Mark S. Casady 2010 Grantor Retained Annuity Trust and disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
/s/ Mark S. Casady
2011-12-02