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As filed with the Securities and Exchange Commission on November 17, 2010
Registration No. 333-       
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
Form S-1
 
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
 
LPL Investment Holdings Inc.
(Exact name of registrant as specified in its charter)
 
         
Delaware   6200   20-3717839
(State or other jurisdiction of
incorporation or organization) 		  (Primary Standard Industrial
Classification Code Number) 		  (I.R.S. Employer
Identification No.)
 
One Beacon Street, Boston, MA 02108
(617) 423-3644
(Address, including zip code, and telephone number, including area code, of registrant’s principal executive offices)
 
Mark S. Casady
Stephanie L. Brown
LPL Investment Holdings Inc.
One Beacon Street, Boston, MA 02108
(617) 423-3644
(Name, address, including zip code, and telephone number, including area code, of agent for service)
 
Copies to:
 
     
Julie H. Jones, Esq.
Keith F. Higgins, Esq.
Ropes & Gray LLP
Prudential Tower
800 Boylston Street
Boston, MA 02199
Telephone (617) 951-7000
Fax (617) 951-7050 		  William F. Gorin, Esq.
Cleary Gottlieb Steen & Hamilton LLP
One Liberty Plaza
New York, NY 10006
Telephone (212) 225-2000
Fax (212) 225-3999
 
 
Approximate date of commencement of proposed sale to public:  As soon as practicable after this Registration Statement becomes effective.
 
If any of the securities being registered on this Form are to be offered on a delayed or continuous basis pursuant to Rule 415 under the Securities Act of 1933, as amended (the “Securities Act”), check the following box.  o
 
If this Form is filed to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act, please check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering.  þ  333-167325
 
If this Form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering.  o
 
If this Form is a post-effective amendment filed pursuant to Rule 462(d) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering.  o
 
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act. (Check one):
 
             
Large accelerated filer o
  Accelerated filer o   Non-accelerated filer þ   Smaller reporting company o
    (Do not check if a smaller reporting company)    
 
CALCULATION OF REGISTRATION FEE
 
                         
            Proposed Maximum
 		    Proposed Maximum
 		    Amount of
Title of Each Class of
 		    Amount to be
 		    Offering Price
 		    Aggregate
 		    Registration
Securities to be Registered     Registered     Per Share     Offering Price(2)     Fee
Common Stock, $0.001 par value per share
    47,035(1)     $30     $1,411,050     $100.61
                         
 
(1) Includes shares of common stock issuable upon exercise of an option to purchase additional shares granted to underwriters.
(2) Estimated solely for the purpose of calculating the registration fee pursuant to Rule 457(a) under the Securities Act, based on an estimate of the proposed maximum aggregate offering price.
 

 

 
EXPLANATORY NOTE AND INCORPORATION BY REFERENCE
 
This registration statement is being filed with respect to the registration of additional shares of common stock, par value $0.001 per share, of LPL Investment Holdings Inc., a Delaware corporation, pursuant to Rule 462(b) under the Securities Act of 1933, as amended. The contents of the earlier registration statement on Form S-1 (File No. 333-167325), which was declared effective by the Commission on November 17, 2010, are incorporated in this registration statement by reference.
 
The required opinions and consents are listed on an Exhibit Index attached hereto and filed herewith.

 

SIGNATURES
 
Pursuant to the requirements of the Securities Act of 1933, the registrant has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Boston, The Commonwealth of Massachusetts, on the 17th day of November, 2010.
 
LPL Investment Holdings Inc.
 
  By: 
/s/  Mark S. Casady
Mark S. Casady
Chief Executive Officer and Chairman
 
Pursuant to the requirements of the Securities Act of 1933, this Registration Statement has been signed by the following persons in the capacities and on the dates indicated:
 
             
Signature
 
Title
 
Date
 
         
*

Mark S. Casady 		  Chief Executive Officer and Chairman (Principal Executive Officer)   November 17, 2010
         
*

Robert J. Moore 		  Chief Financial Officer and Treasurer
(Principal Financial Officer) 		  November 17, 2010
         
*

Thomas D. Lux 		  Chief Accounting Officer
(Principal Accounting Officer) 		  November 17, 2010
         
*

John J. Brennan 		  Director   November 17, 2010
         
*

Richard W. Boyce 		  Director   November 17, 2010
         
*

James S. Putnam 		  Director, Vice Chairman   November 17, 2010
         
*

Erik D. Ragatz 		  Director   November 17, 2010
         
*

James S. Riepe 		  Director   November 17, 2010
         
*

Richard P. Schifter 		  Director   November 17, 2010

 

             
Signature
 
Title
 
Date
 
         
*

Jeffrey E. Stiefler 		  Director   November 17, 2010
         
*

Allen R. Thorpe 		  Director   November 17, 2010
             
*By:  
/s/  Mark S. Casady

Mark S. Casady
Attorney-in-fact 		       

 

 
EXHIBIT INDEX
 
         
Exhibit
 		   
No.
 
Description
 
  5 .1   Opinion of Ropes & Gray LLP
  23 .1   Consent of Ropes & Gray LLP (included in Exhibit 5.1)
  23 .2   Consent of Deloitte & Touche LLP
  24 .1*   Powers of Attorney
 
 
* Filed as Exhibit 24.1 to the Registrant’s Registration Statement on Form S-1 (File No. 333-167325) filed with the Commission on June 4, 2010.