0001181431-12-028460.txt : 20120508
0001181431-12-028460.hdr.sgml : 20120508
20120508170443
ACCESSION NUMBER: 0001181431-12-028460
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120507
FILED AS OF DATE: 20120508
DATE AS OF CHANGE: 20120508
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HELLMAN & FRIEDMAN CAPITAL V LP
CENTRAL INDEX KEY: 0001299380
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 12822310
BUSINESS ADDRESS:
STREET 1: ONE MARITIME PLAZA
STREET 2: 12TH FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 4157885111
MAIL ADDRESS:
STREET 1: ONE MARITIME PLAZA
STREET 2: 12TH FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Hellman & Friedman Capital Associates V, L.P.
CENTRAL INDEX KEY: 0001462332
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 12822308
BUSINESS ADDRESS:
STREET 1: ONE MARITIME PLAZA, 12TH FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 415-788-5111
MAIL ADDRESS:
STREET 1: ONE MARITIME PLAZA, 12TH FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
FORMER NAME:
FORMER CONFORMED NAME: Hellman & Friedman Capital Associates V, LLC
DATE OF NAME CHANGE: 20090421
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Hellman & Friedman Capital Partners V (Parallel), L.P.
CENTRAL INDEX KEY: 0001462333
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 12822309
BUSINESS ADDRESS:
STREET 1: ONE MARITIME PLAZA, 12TH FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 415-788-5111
MAIL ADDRESS:
STREET 1: ONE MARITIME PLAZA, 12TH FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Hellman & Friedman Investors V, L.P.
CENTRAL INDEX KEY: 0001462334
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 12822306
BUSINESS ADDRESS:
STREET 1: ONE MARITIME PLAZA
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 415-788-5111
MAIL ADDRESS:
STREET 1: ONE MARITIME PLAZA
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
FORMER NAME:
FORMER CONFORMED NAME: Hellman & Friedman Investors V, LLC
DATE OF NAME CHANGE: 20090421
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Hellman & Friedman LLC
CENTRAL INDEX KEY: 0001462335
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 12822307
BUSINESS ADDRESS:
STREET 1: ONE MARITIME PLAZA, 12TH FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 415-788-5111
MAIL ADDRESS:
STREET 1: ONE MARITIME PLAZA, 12TH FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
4
1
rrd344065.xml
FORM 4
X0305
4
2012-05-07
0
0001397911
LPL Investment Holdings Inc.
LPLA
0001462335
Hellman & Friedman LLC
ONE MARITIME PLAZA, 12TH FLOOR
SAN FRANCISCO
CA
94111
1
0
1
0
0001462334
Hellman & Friedman Investors V, L.P.
ONE MARITIME PLAZA, 12TH FLOOR
SAN FRANCISCO
CA
94111
1
0
1
0
0001299380
HELLMAN & FRIEDMAN CAPITAL V LP
ONE MARITIME PLAZA, 12TH FLOOR
SAN FRANCISCO
CA
94111
1
0
1
0
0001462333
Hellman & Friedman Capital Partners V (Parallel), L.P.
ONE MARITIME PLAZA, 12TH FLOOR
SAN FRANCISCO
CA
94111
1
0
1
0
0001462332
Hellman & Friedman Capital Associates V, L.P.
ONE MARITIME PLAZA, 12TH FLOOR
SAN FRANCISCO
CA
94111
1
0
1
0
Common Stock, par value $0.001 per share
2012-05-07
4
S
0
6374200
33.3788
D
23708919
I
See Notes
Common Stock, par value $0.001 per share
2012-05-07
4
S
0
872175
33.3788
D
3244065
I
See Notes
Common Stock, par value $0.001 per share
2012-05-07
4
S
0
3625
33.3788
D
13480
I
See Notes
This amount represents the $34.50 secondary public offering price per share of the Common Stock of the Issuer less the underwriting discount of $1.12125 per share.
This Common Stock is held by Hellman & Friedman Capital Partners V, L.P. ("HFCP V").
This Common Stock is held by Hellman & Friedman Capital Partners V (Parallel), L.P. ("HFCP V Parallel").
This Common Stock is held by Hellman & Friedman Capital Associates V, L.P. ("Associates V").
Includes 5,525 shares of Common Stock of the Issuer held by Allen R. Thorpe and Jeffrey A. Goldstein for the benefit of HFCP V. The proceeds of any disposition of these shares held by Mr. Thorpe and Mr. Goldstein will be applied against management fees payable pursuant to the applicable partnership agreement. Each of Mr. Thorpe and Mr. Goldstein disclaim beneficial ownership of these shares.
Includes 755 shares of Common Stock of the Issuer held by Mr. Thorpe and Mr. Goldstein for the benefit of HFCP V Parallel. The proceeds of any disposition of these shares held by Mr. Thorpe and Mr. Goldstein will be applied against management fees payable pursuant to the applicable partnership agreement. Each of Mr. Thorpe and Mr. Goldstein disclaim beneficial ownership of these shares.
Hellman & Friedman Investors V, L.P. ("Investors V") is the sole general partner of each of HFCP V and HFCP V Parallel. Hellman & Friedman LLC ("H&F LLC" and, together with HFCP V, HFCP V Parallel, Associates V and Investors V, the "H&F Entities") is the sole general partner of each of Investors V and Associates V. As the sole general partner of HFCP V and HFCP V Parallel, Investors V may be deemed to beneficially own shares of Common Stock of the Issuer beneficially owned by HFCP V and HFCP V Parallel. As sole general partner of Investors V and Associates V, H&F LLC may be deemed to beneficially own shares of Common Stock of the Issuer beneficially owned by Investors V and Associates V. Following the reported transactions, Investors V may be deemed to beneficially own 26,952,984 shares of Common Stock of the Issuer and H&F LLC may be deemed to beneficially own 26,966,464 shares of Common Stock of the Issuer.
A four member investment committee of H&F LLC has power to vote or to direct the vote of, and to dispose or to direct the disposition of, shares of common stock that are beneficially owned by the H&F Entities. Each member of the investment committee of H&F LLC disclaims beneficial ownership of the reported shares beneficially owned by the H&F Entities, except to the extent of such member's pecuniary interest therein, if any.
Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934, as amended, the Reporting Person states that this filing shall not be an admission that the Reporting Person is the beneficial owner of any of the securities reported herein, and the Reporting Person disclaims beneficial ownership of such securities except to the extent of the Reporting Person's pecuniary interest therein.
/s/ Allen R. Thorpe as Managing Director of Hellman & Friedman LLC
2012-05-08
/s/ Allen R. Thorpe as Managing Director of Hellman & Friedman LLC, as General Partner of Hellman & Friedman Capital Associates V, L.P.
2012-05-08
/s/ Allen R. Thorpe as Managing Director of Hellman & Friedman LLC, as General Partner of Hellman & Friedman Investors V, L.P.
2012-05-08
/s/ Allen R. Thorpe as Managing Director of Hellman & Friedman LLC, as General Partner of Hellman & Friedman Investors V, L.P., as General Partner of Hellman & Friedman Capital Partners V, L.P.
2012-05-08
/s/ Allen R. Thorpe as Managing Director of Hellman & Friedman LLC, as General Partner of Hellman & Friedman Investors V, L.P., as General Partner of Hellman & Friedman Capital Partners V (Parallel), L.P.
2012-05-08