-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, TrEWufAaOE64jljRJg6/xlQrJYAf8NpgpzPv7a5wkgTE5AFWKKMpFiCe5giN8NXC bh1T27hITXWky/KW/eDWIw== 0000904454-10-000408.txt : 20101119 0000904454-10-000408.hdr.sgml : 20101119 20101119214432 ACCESSION NUMBER: 0000904454-10-000408 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101117 FILED AS OF DATE: 20101119 DATE AS OF CHANGE: 20101119 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Putnam James S CENTRAL INDEX KEY: 0001405298 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 101207097 MAIL ADDRESS: STREET 1: ONE BEACON STREET STREET 2: SUITE 21 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 edgar.xml PRIMARY DOCUMENT X0303 4 2010-11-17 0001397911 LPL Investment Holdings Inc. LPLA 0001405298 Putnam James S C/O LPL INVESTMENT HOLDINGS INC. ONE BEACON STREET BOSTON MA 02108 1 0 0 0 Common Stock 2010-11-17 4 M 0 100180 1.88 A 100180 I by spouse Common Stock 2010-11-17 4 M 0 100190 1.35 A 200370 I by spouse Common Stock 2010-11-17 4 M 0 534330 1.49 A 734700 I by spouse Common Stock 2010-11-17 4 S 0 407327 30.00 D 327373 I by spouse Common Stock 2010-11-17 4 S 0 86970 30.00 D 399999.5 D Stock Option (Right to Buy) 1.88 2010-11-17 4 M 0 100180 0 D 2003-05-02 2013-05-02 Common Stock 100180 0 I by spouse Stock Option (Right to Buy) 1.35 2010-11-17 4 M 0 100190 0 D 2003-11-30 2013-11-30 Common Stock 100190 0 I by spouse Stock Option (Right to Buy) 1.49 2010-11-17 4 M 0 534330 0 D 2004-05-31 2014-05-31 Common Stock 534330 0 I by spouse Adjusted to reflect the 10-for-1 stock split effected by the Issuer on 01/01/2008. Held by the Reporting Person's spouse. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest, if any, therein. /s/ James S. Putnam 2010-11-19 -----END PRIVACY-ENHANCED MESSAGE-----