0001209191-12-009485.txt : 20120213
0001209191-12-009485.hdr.sgml : 20120213
20120213151431
ACCESSION NUMBER: 0001209191-12-009485
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: Dwyer William E III
CENTRAL INDEX KEY: 0001405121
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34963
FILM NUMBER: 12598621
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
2012-02-09
0
0001397911
LPL Investment Holdings Inc.
LPLA
0001405121
Dwyer William E III
C/O LPL INVESTMENT HOLDINGS INC.
ONE BEACON STREET
BOSTON
MA
02108
0
1
0
0
Pres., Nat'l Sales & Mktg.
Common Stock
2012-02-09
4
M
0
35098
1.35
A
313557
D
Common Stock
2012-02-09
4
S
0
35098
32.27
D
278459
D
Option to Purchase Common Stock
32.26
2012-02-09
4
A
0
104040
0.00
A
2022-02-09
Common Stock
104040
104040
D
Option to Purchase Common Stock
1.35
2012-02-09
4
M
0
35098
0.00
D
2013-11-30
Common Stock
35098
0
D
The option is not currently excersiable as to any shares. This option is excersiable in 20% increments on each of February 9, 2013, 2014, 2015, 2016 and 2017.
Fully vested as of 11/30/2008
The Reporting Person also indirectly beneficially owns 233,116 shares of Common Stock held by GRATS and family trusts. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest, if any, therein.
/s/ William E. Dwyer, III
2012-02-13