Filing Details

Accession Number:
0001140361-12-023658
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-05-08 16:48:24
Reporting Period:
2012-05-07
Filing Date:
2012-05-08
Accepted Time:
2012-05-08 16:48:24
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1397911 Lpl Investment Holdings Inc. LPLA Security & Commodity Brokers, Dealers, Exchanges & Services (6200) 203717839
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
860866 David Bonderman C/O Tpg Global, Llc
301 Commerce St., Suite 3300
Fort Worth TX 76102
No No Yes No
1099776 G James Coulter C/O Tpg Global, Llc
301 Commerce St., Suite 3300
Fort Worth TX 76102
No No Yes No
1495741 Tpg Group Holdings (Sbs) Advisors, Inc. C/O Tpg Global, Llc
301 Commerce St., Suite 3300
Fort Worth TX 76102
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2012-05-07 7,250,000 $33.38 26,960,185 No 4 P Indirect See Explanation of Responses
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See Explanation of Responses
Footnotes
  1. The price represents the public offering price of $34.50 per share less the underwriter's discount of $1.12125 per share.
  2. David Bonderman and James G. Coulter are directors, officers and the sole shareholders of TPG Group Holdings (SBS) Advisors, Inc., a Delaware corporation ("TPG Group Advisors" and, together with Messrs. Bonderman and Coulter, the "Reporting Persons"), which is the general partner of TPG Group Holdings (SBS), L.P., a Delaware limited partnership, which is the sole member of TPG Holdings I-A, LLC, a Delaware limited liability company, which is the general partner of TPG Holdings I, L.P., a Delaware limited partnership, which is the sole member of TPG GenPar IV Advisors, LLC, a Delaware limited liability company, which is the general partner of TPG GenPar IV, L.P., a Delaware limited partnership, which is the general partner of TPG Partners IV, L.P., a Delaware limited partnership ("Partners IV"). Partners IV directly holds the shares of common stock of LPL Investment Holdings Inc. reported herein (the "Shares").
  3. Because of the Reporting Persons' relationship to Partners IV, the Reporting Persons may be deemed to beneficially own the Shares to the extent of the greater of their respective direct or indirect pecuniary interests in the profits or capital accounts of Partners IV.
  4. Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for the purposes of Section 16 of the Exchange Act or otherwise, the beneficial owners of any Shares beneficially owned in excess of their respective pecuniary interests.