UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Option Award | Â (1) | 02/05/2018 | Common stock | 40,000 | $ 27.8 | D | Â |
Option Award | Â (2) | 09/14/2019 | Common Stock | 50,000 | $ 22.08 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Abood Denise M. C/O LPL INVESTMENT HOLDINGS INC. ONE BEACON STREET BOSTON, MA 02108 |
 |  |  MD, Human Capital |  |
/s/Denise M. Abood | 03/23/2010 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | This option is currently exercisable as to 16,000 shares. The remaining award is exercisable in 8,000 increments on each of February 5, 2011, 2012 and 2013. |
(2) | This option is not currently exercisable as to any shares. The option is exercisable in 20% increments on each of September 14, 2010, 2011, 2012, 2013 and 2014. |