LPL Financial Holdings Inc.
LPL Investment Holdings Inc. (Form: 3, Received: 06/29/2007 11:58:09)
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 *

Haines Marshall

2. Date of Event Requiring Statement (MM/DD/YYYY)
6/29/2007 

3. Issuer Name and Ticker or Trading Symbol

LPL Investment Holdings Inc. [NONE]

(Last)        (First)        (Middle)

345 CALIFORNIA STREET (1), SUITE 3300

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

__ X __ Director                            _____ 10% Owner
_____ Officer (give title below)          _____ Other (specify below)

(Street)

SAN FRANCISCO, CA 94104       

(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

Explanation of Responses:

Remarks:
(1) The Reporting Person does not directly own any securities of the issuer. The Reporting Person is a principal of TPG
Capital. Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934, as amended, the Reporting Person herein
states that, except to the extent of his pecuniary interest in such securities, this filing shall not be deemed an admission
that he is the beneficial owner of any equity securities of the issuer beneficially owned by TPG Partners IV, L.P. as
reported in the issuer's Form 10 filed with the Securities and Exchange Commission on April 30, 2007.

(2) Clive D. Bode is signing on behalf of Mr. Haines pursuant to an authorization and designation letter dated August 31,
2006, which is filed as an exhibit herewith.
No securities are beneficially owned.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Haines Marshall
345 CALIFORNIA STREET (1)
SUITE 3300
SAN FRANCISCO, CA 94104
X



Signatures
/s/ Clive D. Bode on behalf of Marshall Haines (2) 6/27/2007
** 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.


 

 

 

 

August 31, 2006

 

                                                                                                                                                                                                   

Securities and Exchange Commission

450 Fifth Street, NW

Washington, DC 20549


This letter confirms that Clive Bode and John Viola are authorized and designated to sign all securities related filings with the Securities and Exchange Commission, including Forms 3, 4 and 5, on my behalf. This authorization and designation shall be valid for three years from the date of this letter.

Very truly yours,

 

/s/ Marshall Haines

Marshall Haines

 

 

 

 

 

 

 

 

 

301 Commerce Street, Suite 3300, Fort Worth, TX 76102

817-871-4000 T ~ 817-871-4088 F