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