LPL Financial Holdings Inc.
LPL Investment Holdings Inc. (Form: 3, Received: 05/08/2012 20:11:27)
FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Bruton Derek

2. Date of Event Requiring Statement (MM/DD/YYYY)
5/1/2012 

3. Issuer Name and Ticker or Trading Symbol

LPL Investment Holdings Inc. [LPLA]

(Last)        (First)        (Middle)

C/O LPL INVESTMENT HOLDINGS INC., ONE BEACON STREET, 22ND FLOOR

4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                            _____ 10% Owner
___ X ___ Officer (give title below)          _____ Other (specify below)
MD, National Sales Manager /

(Street)

BOSTON, MA 02108       

(City)              (State)              (Zip)
5. If Amendment, Date Original Filed (MM/DD/YYYY)

 

6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person


Table I - Non-Derivative Securities Beneficially Owned
1.Title of Security
(Instr. 4)
2. Amount of Securities Beneficially Owned
(Instr. 4)
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
4. Nature of Indirect Beneficial Ownership
(Instr. 5)

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Option to purchase Common Stock     (1) 3/12/2018   Common Stock   15000   $27.80   D    
Option to purchase Common Stock     (2) 6/10/2018   Common Stock   20000   $27.17   D    
Option to purchase Common Stock     (3) 6/12/2019   Common Stock   55000   $19.74   D    
Option to purchase Common Stock     (4) 9/14/2019   Common Stock   40000   $22.08   D    
Option to purchase Common Stock     (5) 12/22/2020   Common Stock   35750   $34.61   D    
Option to purchase Common Stock     (6) 2/9/2022   Common Stock   27686   $32.26   D    

Explanation of Responses:
( 1)  This option is currently exercisable as to 12,000 shares. The remaining award will become exercisable on March 12, 2013.
( 2)  This option is currently exercisable as to 12,000 shares. The remaining award will become exercisable in increments of 4,000 shares on each of June 10, 2012 and 2013.
( 3)  This option is not currently exercisable as to any shares. The award will become fully exercisable on June 12, 2012.
( 4)  This option is currently exercisable as to 16,000 shares. The remaining award will become exercisable in increments of 8,000 shares on each of September 14, 2012, 2013, and 2014.
( 5)  This option is currently exercisable as to 7,150 shares. The remaining award will become exercisable in increments of 7,150 shares on each of December 22, 2012, 2013, 2014, and 2015.
( 6)  The option is not currently exercisable as to any shares. The award will become exercisable in the following increments: 5,537 on each of February 9, 2013 and 2014; 5,538 on February 9, 2015; and 5,537 on each of February 9, 2016 and 2017.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Bruton Derek
C/O LPL INVESTMENT HOLDINGS INC.
ONE BEACON STREET, 22ND FLOOR
BOSTON, MA 02108


MD, National Sales Manager

Signatures
/s/ Derek Bruton 5/8/2012
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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