0001209191-12-009407.txt : 20120213 0001209191-12-009407.hdr.sgml : 20120213 20120213123011 ACCESSION NUMBER: 0001209191-12-009407 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120209 FILED AS OF DATE: 20120213 DATE AS OF CHANGE: 20120213 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: 12596986 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 2012-02-09 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 2012-02-09 4 A 0 1550 0.00 A 404729.5 D Common Stock 287535 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 2012-02-09