0001209191-11-059477.txt : 20111205
0001209191-11-059477.hdr.sgml : 20111205
20111205161951
ACCESSION NUMBER: 0001209191-11-059477
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20111201
FILED AS OF DATE: 20111205
DATE AS OF CHANGE: 20111205
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: 111243248
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
doc4.xml
FORM 4 SUBMISSION
X0304
4
2011-12-01
0
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
2011-12-01
4
A
0
1667
0.00
A
403179.5
D
Common Stock
327535
I
Held by Reporting Person's spouse.
Restricted Stock Units
94256
I
Held by Reporting Person's spouse.
These shares represent restricted stock that was granted under the Issuer's 2010 Omnibus Equity Incentive Plan. This restricted stock shall be fully vested on the second anniversary of the transaction date.
The Reporting Person disclaims beneficial ownership of these shares.
/s/ Stephanie L. Brown, as Attorney-in-Fact
2011-12-05