LPL Financial (LPLA) 8-K Other Events

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 8-K

CURRENT REPORT
Pursuant to Section 13 or 15(d) of
The Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): November 3, 2010

LPL Investment Holdings Inc.

(Exact name of registrant as specified in its charter)

Delaware	000-52609	20-3717839
(State or other jurisdiction of incorporation)	(Commission File Number)	(IRS Employer Identification No.)

One Beacon Street
Boston MA	02108
(Address of principal executive offices)	(Zip Code)

Registrant’s telephone number, including area code: (617) 423-3644

N/A(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

o     Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

o     Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

o     Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

o     Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

TABLE OF CONTENTS

	Item 8.01. Other Events.
SIGNATURE

Item 8.01. Other Events.

     The following table sets forth certain information with respect to the beneficial ownership of LPL Investment Holdings Inc.’s (the “Company”) common stock as of October 19, 2010 for certain selling stockholders who are participating in the offering as described in the Company’s Registration Statement on Form S-1 initially filed June 4, 2010, as amended (the “Registration Statement”).

     For each of the selling stockholders listed below, to the extent such selling stockholder is exercising options or warrants on a cashless basis in order to participate in the offering, we have assumed a net exercise price based on the assumed initial public offering price of $28.50 per share, which is the midpoint of the range listed on the cover page of the prospectus included in the Registration Statement. A $1.00 increase in the assumed initial public offering price of $28.50 per share would increase the aggregate number of shares sold by the selling stockholders listed in the Registration Statement and below by 29,230. A $1.00 decrease in the assumed initial public offering price of $28.50 per share would decrease the aggregate number of shares sold by the selling stockholders listed in the Registration Statement and below by 31,346.

     The number of shares beneficially owned by each of the selling stockholders listed below is determined under rules issued by the Securities and Exchange Commission. Under these rules, beneficial ownership includes any shares as to which the individual or entity has sole or shared voting power or investment power. Each of the selling stockholders listed below has sole voting and investment power with respect to the shares beneficially owned by the selling stockholder, subject to community property laws where applicable.

     None of the selling stockholders listed below beneficially owns more than one percent of the Company’s common stock. The percentage of common stock beneficially owned by each selling stockholder is based on 94,249,754 shares of common stock outstanding as of October 19, 2010. Shares of common stock that may be acquired within 60 days following October 19, 2010 pursuant to the exercise of options or warrants are deemed to be outstanding for the purpose of computing the percentage ownership of such holder but are not deemed to be outstanding for computing the percentage ownership of any other person shown in the table.

									Common Stock Beneficially Owned After This
	Common Stock Beneficially Owned Prior to this Offering								Offering
			Stock Options								Stock Options
			Exercisable				Number of				Exercisable
Name of Beneficial Owner	Number		within 60 days		Aggregate		Shares Offered		Number		within 60 days		Aggregate
Rochelle L Putnam		—		734,700		734,700		368,039		327,373		—		327,373
Scott M Miller		—		320,600		320,600		194,258		—		112,600		112,600
Joseph P Tuorto		—		288,520		288,520		177,734		—		100,982		100,982
Charles W Maher		100		221,290		221,390		86,674		115,659		—		115,659
Stephanie L. Brown Grantor Retained Annuity Trust of 2009		217,202		—		217,202		32,580		184,622		—		184,622
Amy L Wong		—		206,360		206,360		28,022		—		176,360		176,360
Kenneth C Muntz		20,040		185,370		205,410		93,770		20,040		85,370		105,410
Carlyle Mezzanine Partners, L.P.		198,107		—		198,107		99,053		99,054		—		99,054
Scott Collins		—		186,330		186,330		112,917		—		66,515		66,515
Mary E Fisher		—		181,840		181,840		110,647		—		63,644		63,644
David J Freniere		—		181,310		181,310		106,182		—		68,658		68,658
Stephen A Pirigyi		—		176,310		176,310		53,803		—		119,540		119,540
Gina M Steele		—		173,650		173,650		93,592		—		73,450		73,450
William P Morrissey		—		166,820		166,820		65,725		—		96,701		96,701
Andrew J Duggan		156,458		—		156,458		101,698		54,760		—		54,760
Christopher Defrank		—		151,940		151,940		53,689		—		95,290		95,290
Robert D Rupple		—		148,930		148,930		91,564		—		52,125		52,125
Kandis K Bates		—		142,250		142,250		79,853		—		57,100		57,100
Keith H Fine		—		137,970		137,970		83,830		—		49,199		49,199
George Fekete		—		134,080		134,080		28,963		—		103,070		103,070
Michael T Hope		3,340		118,560		121,900		71,969		3,340		41,496		44,836
John M Taylor		—		103,530		103,530		60,649		36,061		—		36,061
Thomas M Berry		—		100,190		100,190		61,720		—		35,066		35,066
Leon Lee		—		99,850		99,850		51,709		—		44,932		44,932
Brian J Desmond		—		86,830		86,830		53,015		—		30,390		30,390
Carolyn A Mooney		—		86,830		86,830		51,170		30,390		—		30,390
James P Norwood		—		82,650		82,650		48,661		—		30,553		30,553
Ronald L Carson Jr		74,930		459		75,389		48,705		26,225		459		26,684
Andrew Valerie		—		73,430		73,430		44,515		—		25,700		25,700
Beverly M Barth		6,300		66,790		73,090		40,521		6,300		23,377		29,677
Jennifer R Dutton		—		72,800		72,800		34,345		—		36,040		36,040
Jeffrey A Nash		—		68,600		68,600		9,275		1,000		57,600		58,600
Susan C Kaplan		64,670		627		65,297		42,036		22,634		627		23,261
Dawn J Basore		—		65,130		65,130		39,632		—		22,795		22,795
Daniel F Schuck		—		63,580		63,580		13,618		—		49,060		49,060
Robert I Fragasso		60,420		603		61,023		23,000		37,420		603		38,023
Daniel J Kilroy		—		57,090		57,090		32,896		—		19,982		19,982
John M Kail		—		55,440		55,440		31,176		—		22,040		22,040
Anthony G Valeri		—		54,090		54,090		32,279		—		19,581		19,581
John J Waldron		50,740		744		51,484		32,981		17,759		744		18,503
Allison H Harris		—		49,750		49,750		30,602		—		17,412		17,412
Donna Lynne H Nauss		14,700		33,730		48,430		30,015		5,145		11,806		16,951
James F McGuire		—		48,250		48,250		29,324		—		16,887		16,887
Stephen R Langlois		—		48,070		48,070		26,280		—		19,426		19,426
Sheila C Woelfel		46,760		—		46,760		30,394		16,366		—		16,366
Herbert M Gilbert Jr		45,920		325		46,245		29,848		16,072		325		16,397
William E Walcher		500		44,080		44,580		18,533		175		22,040		22,215
Salvatore S Zambito		—		42,740		42,740		24,800		—		16,259		16,259
Todd A Feltz		42,160		400		42,560		27,404		14,756		400		15,156
Tracy L Gallman		—		42,400		42,400		20,087		—		20,691		20,691

2

									Common Stock Beneficially Owned After This
	Common Stock Beneficially Owned Prior to this Offering								Offering
			Stock Options								Stock Options
			Exercisable				Number of				Exercisable
Name of Beneficial Owner	Number		within 60 days		Aggregate		Shares Offered		Number		within 60 days		Aggregate
Kerrick W Bubb		41,170		364		41,534		12,000		29,170		364		29,534
Dora L Wood		—		40,580		40,580		24,334		—		14,528		14,528
John S Kerr		39,040		415		39,455		13,000		26,040		415		26,455
Karl H Romero		38,820		363		39,183		25,233		13,587		363		13,950
Terry A Danner		—		37,740		37,740		22,869		—		13,209		13,209
Brad S Fryer		—		37,400		37,400		20,278		—		15,690		15,690
William Zagozewski		3,600		33,400		37,000		21,478		2,400		11,690		14,090
John F Reutemann Jr		36,540		253		36,793		23,751		12,789		253		13,042
Chad D Perry		—		36,784		36,784		5,106		—		28,784		28,784
Scott P Elliott		36,740		—		36,740		23,881		12,859		—		12,859
Steven M Booren		35,190		385		35,575		14,190		21,000		385		21,385
Joan M Valenti		33,870		455		34,325		13,870		20,000		455		20,455
Addison A Barksdale		34,040		—		34,040		22,126		11,914		—		11,914
Lawrence D Silverman		33,350		74		33,424		21,678		11,672		74		11,746
Daniel G Gensler		32,960		246		33,206		9,888		23,072		246		23,318
Mark S Winthrop		32,730		454		33,184		20,500		12,230		454		12,684
Gene F Goldman		—		33,060		33,060		6,223		—		26,380		26,380
Marc H Stone		32,170		247		32,417		19,300		12,870		247		13,117
Mark R Brown		31,600		320		31,920		20,540		11,060		320		11,380
Jenny R Gloss		—		31,810		31,810		16,455		—		14,448		14,448
Daniel W Pinkerton		31,520		285		31,805		20,480		11,040		285		11,325
Jeffrey A Hallberg		1,000		30,710		31,710		7,957		350		23,000		23,350
John A Guthery		—		31,560		31,560		16,817		—		13,560		13,560
Ioannis Bousnakis		—		31,040		31,040		18,255		—		11,514		11,514
Stephen F Eldridge		29,180		283		29,463		14,590		14,590		283		14,873
Laila S Marshall-Pence		28,200		199		28,399		14,200		14,000		199		14,199
Laurie J Stack		—		28,220		28,220		14,405		—		12,803		12,803
Steven H Lecoultre		28,100		21		28,121		18,100		10,000		21		10,021
Terri L Payne		25,640		1,000		26,640		2,040		23,600		1,000		24,600
Craig J Snyder		25,470		404		25,874		14,000		11,470		404		11,874
Robert J Floe		25,340		277		25,617		7,600		17,740		277		18,017
David M Nelson		25,020		201		25,221		16,263		8,757		201		8,958
Gary R Campbell		24,660		357		25,017		10,660		14,000		357		14,357
Doug M Oglesby		—		24,240		24,240		14,156		—		9,134		9,134
Amanda C Hawley		—		24,040		24,040		7,479		—		16,024		16,024
Brian C Caldwell		—		23,880		23,880		10,989		—		12,190		12,190
Camilla E Neri		22,140		183		22,323		10,600		11,540		183		11,723
Herbert S Shiraishi		22,070		—		22,070		14,346		7,724		—		7,724
Jeffrey A Buchbinder		—		21,030		21,030		2,872		—		18,000		18,000
Earl B Winthrop		20,400		239		20,639		13,250		7,150		239		7,389
Janice K Hobbs		20,180		207		20,387		7,063		13,117		207		13,324
Frances M Comarsh-Hein		—		20,370		20,370		5,901		—		14,030		14,030
Carol L Rogers		20,040		283		20,323		13,026		7,014		283		7,297
George F Daly		—		20,040		20,040		10,275		—		9,040		9,040
James O Lunney		19,420		288		19,708		12,623		6,797		288		7,085
Thomas C Scott		19,390		237		19,627		12,604		6,786		237		7,023
Tuttie A Fusco		19,300		319		19,619		12,545		6,755		319		7,074
Robert T Haller		18,970		212		19,182		8,500		10,470		212		10,682
Robert B Mauterstock Jr		18,960		132		19,092		9,480		9,480		132		9,612
Michael J Hirthler		18,760		44		18,804		12,194		6,566		44		6,610
Robert O Graves		18,520		216		18,736		9,260		9,260		216		9,476
Kevin M Keefe		—		18,200		18,200		10,876		—		6,370		6,370
Deborah L Danielson		17,840		335		18,175		7,734		10,106		335		10,441
Regina A Bolvin		17,920		205		18,125		5,000		12,920		205		13,125
Leonard G Rickey		17,760		276		18,036		8,880		8,880		276		9,156
Robert D Oros		—		18,000		18,000		273		—		11,500		11,500
Carol Y Godsave		17,560		239		17,799		11,400		6,160		239		6,399
Steven L Vanhouten		17,490		228		17,718		10,000		7,490		228		7,718
Kevin P Holland		17,460		163		17,623		11,349		6,111		163		6,274
James E Bashaw		16,820		379		17,199		6,000		10,820		379		11,199
Carole R Ford		16,780		370		17,150		10,907		5,873		370		6,243
Garrett A Ahrens		16,690		347		17,037		10,849		5,841		347		6,188
Don Giovanello		16,730		199		16,929		8,365		8,365		199		8,564
Ross R Pake		16,710		208		16,918		6,210		10,500		208		10,708
Thomas E Vaughan		16,730		183		16,913		10,875		5,855		183		6,038
Stephen M Henry		16,680		227		16,907		6,680		10,000		227		10,227
Yvonne Redmond		16,690		150		16,840		10,849		5,841		150		5,991
Wayne E Warner		16,610		179		16,789		6,010		10,600		179		10,779
David J Petoskey		16,470		231		16,701		6,470		10,000		231		10,231
David T Reilly		—		16,700		16,700		5,605		—		10,700		10,700

3

									Common Stock Beneficially Owned After This
	Common Stock Beneficially Owned Prior to this Offering								Offering
			Stock Options								Stock Options
			Exercisable				Number of				Exercisable
Name of Beneficial Owner	Number		within 60 days		Aggregate		Shares Offered		Number		within 60 days		Aggregate
Peter F Tedstrom		16,350		209		16,559		10,627		5,723		209		5,932
Frank T Patzke		16,260		231		16,491		10,569		5,691		231		5,922
Alison H. Spalding Trust		16,364		—		16,364		2,455		13,909		—		13,909
Gerald F Conway		15,840		163		16,003		7,920		7,920		163		8,083
William H Stevens		15,790		210		16,000		10,264		5,526		210		5,736
Peter F Reinecke		15,790		142		15,932		10,264		5,526		142		5,668
Michael P Hatch		15,660		236		15,896		7,830		7,830		236		8,066
Erny G Malakoff		15,570		320		15,890		5,000		10,570		320		10,890
Sybil M Praski		15,510		197		15,707		10,000		5,510		197		5,707
Donald J Phillips		15,230		188		15,418		9,900		5,330		188		5,518
Tracy M Spaeth		15,370		—		15,370		9,991		5,379		—		5,379
Kevin M Hogan		—		15,360		15,360		9,151		—		5,376		5,376
William J Hastie Jr.		15,060		237		15,297		6,250		8,810		237		9,047
Carlo A Panaccione		14,860		286		15,146		4,360		10,500		286		10,786
Austin A Frye		14,740		207		14,947		6,740		8,000		207		8,207
Philip C Benedict		14,770		166		14,936		9,601		5,169		166		5,335
Leonard T Berard		14,730		144		14,874		9,575		5,155		144		5,299
Richard D Tanner		14,690		77		14,767		3,000		11,690		77		11,767
Vernon Sanftner		14,480		252		14,732		9,412		5,068		252		5,320
Angelo Talebi		14,320		286		14,606		9,308		5,012		286		5,298
Theodore R Massaro Jr		14,360		246		14,606		8,000		6,360		246		6,606
Lynn Ballou		14,380		129		14,509		9,347		5,033		129		5,162
Peter W Gillies		—		14,360		14,360		8,112		—		5,676		5,676
James J Dempsey		—		14,360		14,360		2,292		—		11,860		11,860
Christopher J McCutcheon		—		14,350		14,350		8,696		—		5,022		5,022
Robert E Tucker III		13,980		244		14,224		8,250		5,730		244		5,974
Edward R Maher		13,940		250		14,190		6,540		7,400		250		7,650
David J Workman		13,900		176		14,076		9,000		4,900		176		5,076
John R Milder		—		14,010		14,010		5,963		—		7,504		7,504
Charles S. Fry		14,000		—		14,000		9,100		4,900		—		4,900
Claudia J Jacques-Soto		13,760		182		13,942		8,944		4,816		182		4,998
Daniel P Feltz		13,640		252		13,892		6,640		7,000		252		7,252
Richard J Urciuoli		13,640		218		13,858		6,820		6,820		218		7,038
Mark S Rothstein		13,800		—		13,800		8,970		4,830		—		4,830
Joseph W Rocco Jr		13,660		123		13,783		4,660		9,000		123		9,123
Timothy G Shealy		13,600		126		13,726		8,840		4,760		126		4,886
Robert G Brochu		13,420		289		13,709		4,500		8,920		289		9,209
Pamela A Benzer		13,300		377		13,677		8,645		4,655		377		5,032
David W Latko		13,450		224		13,674		8,450		5,000		224		5,224
Jeffrey P Vincent		13,430		122		13,552		7,500		5,930		122		6,052
Michael W Hamm		—		13,360		13,360		8,112		—		4,676		4,676
Matthew McGinness		—		13,360		13,360		7,959		—		4,676		4,676
Todd P Adams		13,090		253		13,343		8,509		4,581		253		4,834
Bradford L Cornell		1,770		11,500		13,270		1,320		619		11,000		11,619
Harold D Stephenson		13,120		148		13,268		8,528		4,592		148		4,740
Jeff S White		13,040		226		13,266		8,475		4,565		226		4,791
Jeffrey J Schmeltekopf		13,070		179		13,249		8,496		4,574		179		4,753
Paul S King		12,990		153		13,143		8,440		4,550		153		4,703
Thavaselan Subramaniam		12,930		194		13,124		5,000		7,930		194		8,124
John M Cartolano Jr		12,840		238		13,078		7,840		5,000		238		5,238
Lewis T Lazarus		12,890		137		13,027		8,379		4,511		137		4,648
Graham C Parsons II		12,750		253		13,003		6,375		6,375		253		6,628
Roy E Williams Jr		12,570		375		12,945		8,171		4,399		375		4,774
Michael J Ward		12,720		206		12,926		6,360		6,360		206		6,566
Kent D Kuhlmann		12,800		120		12,920		8,320		4,480		120		4,600
Sean P Mcdermott		12,630		283		12,913		7,630		5,000		283		5,283
Steven E Linden		12,560		141		12,701		7,560		5,000		141		5,141
Mark S Schupbach		12,420		264		12,684		6,210		6,210		264		6,474
Lawrence H Hatch		—		12,680		12,680		6,123		—		6,000		6,000
Edward J Lambert		12,500		163		12,663		8,100		4,400		163		4,563
Ian M Weinberg		12,400		254		12,654		6,200		6,200		254		6,454
Robert R Bennie Jr		12,370		185		12,555		8,041		4,329		185		4,514
William L Litton II		12,230		301		12,531		7,950		4,280		301		4,581
Kevin M Nichols		12,280		163		12,443		7,982		4,298		163		4,461

4

									Common Stock Beneficially Owned After This
	Common Stock Beneficially Owned Prior to this Offering								Offering
			Stock Options								Stock Options
			Exercisable				Number of				Exercisable
Name of Beneficial Owner	Number		within 60 days		Aggregate		Shares Offered		Number		within 60 days		Aggregate
Scott A Shelton		12,160		193		12,353		7,904		4,256		193		4,449
Sharon L. Dey Trust		12,273		—		12,273		1,841		10,432		—		10,432
Victoria L. Boyer Trust		12,273		—		12,273		1,841		10,432		—		10,432
George M Dorvillier		11,990		236		12,226		5,000		6,990		236		7,226
Vance L Neal		11,960		162		12,122		7,774		4,186		162		4,348
Paul I Jeffery		11,990		125		12,115		7,000		4,990		125		5,115
Robert A Villanova Sr		11,940		153		12,093		7,761		4,179		153		4,332
Keith A Tyner		11,920		138		12,058		7,700		4,220		138		4,358
William C Newell		11,950		—		11,950		6,950		5,000		—		5,000
Carole J Peck		11,640		159		11,799		6,500		5,140		159		5,299
Barry M Freedman		11,780		—		11,780		5,000		6,780		—		6,780
Tad M Weiss		11,570		197		11,767		7,521		4,049		197		4,246
Kevin S Hatch		11,510		237		11,747		5,180		6,330		237		6,567
Daniel J Murphy Jr		11,400		171		11,571		7,410		3,990		171		4,161
Brent L Forrest		11,370		172		11,542		4,550		6,820		172		6,992
David J Dowgialo		11,390		137		11,527		7,404		3,986		137		4,123
Emmanuel D Harris Sr		11,240		162		11,402		2,500		8,740		162		8,902
Terry B Wells		11,150		245		11,395		3,650		7,500		245		7,745
Michael R Howell		11,150		241		11,391		7,245		3,905		241		4,146
Michael W Boone		11,150		192		11,342		7,248		3,902		192		4,094
Jim D Pinkston		11,200		132		11,332		6,200		5,000		132		5,132
David A Peterson		10,940		341		11,281		2,140		8,800		341		9,141
Glenn E Stephenson		11,090		188		11,278		6,090		5,000		188		5,188
Gene Ka		11,180		—		11,180		7,267		3,913		—		3,913
Marc S Freedman		10,870		272		11,142		3,870		7,000		272		7,272
Guy L Bassini		10,920		163		11,083		7,098		3,822		163		3,985
Brad L Griswold		10,800		255		11,055		7,000		3,800		255		4,055
Barbara L Geltmaker		10,740		167		10,907		4,240		6,500		167		6,667
Steven M Peaslee		10,720		—		10,720		6,968		3,752		—		3,752
Irene S Triffitt		—		10,690		10,690		6,469		—		3,741		3,741
Bentley T Beard		10,430		241		10,671		5,000		5,430		241		5,671
Douglas E Oakeson		10,440		223		10,663		6,786		3,654		223		3,877
Alejandro C Trejo		10,450		168		10,618		5,000		5,450		168		5,618
Kerwin D Thiessen		10,470		129		10,599		6,800		3,670		129		3,799
Marc L Reisman		10,400		152		10,552		6,760		3,640		152		3,792
Brandon E Harrison		10,350		187		10,537		3,500		6,850		187		7,037
Mark D Vanleeuwen		10,310		202		10,512		4,000		6,310		202		6,512
Neil E Elmouchi		10,290		217		10,507		4,790		5,500		217		5,717
Richard E Ozols		10,340		139		10,479		6,721		3,619		139		3,758
Brian M Bernatchez		10,250		217		10,467		5,000		5,250		217		5,467
David W Shepherd		10,200		246		10,446		6,630		3,570		246		3,816
Russell E Charvonia		10,150		205		10,355		4,000		6,150		205		6,355
Jane R Everingham		10,170		161		10,331		6,610		3,560		161		3,721
Gerald Sudderth		10,180		131		10,311		6,500		3,680		131		3,811
Fred G Wicht		10,160		149		10,309		5,080		5,080		149		5,229
Richard P Goblirsch		10,130		144		10,274		5,130		5,000		144		5,144
Eileen Pembroke		3,340		6,880		10,220		6,119		3,507		200		3,707
Mark D Vanderhagen		9,970		186		10,156		6,470		3,500		186		3,686
William H Crew III		9,910		189		10,099		6,441		3,469		189		3,658
Daniel C Davis		9,850		191		10,041		6,400		3,450		191		3,641
Lou A Dreyer		—		10,020		10,020		6,084		—		3,507		3,507
Phillip H Lieberman		10,010		—		10,010		6,507		3,503		—		3,503
Ronald N Lazzaro		9,810		194		10,004		2,900		6,910		194		7,104
Kathleen D VanNoy-Pineda		—		10,000		10,000		478		—		8,700		8,700
George R Pierce		9,710		269		9,979		6,312		3,398		269		3,667
Calvin C Garvin		9,790		138		9,928		6,364		3,426		138		3,564
Don M Hosack		9,760		144		9,904		4,880		4,880		144		5,024
Patricia A Bliss		9,720		177		9,897		4,860		4,860		177		5,037
Edward F Heagen		9,680		208		9,888		6,280		3,400		208		3,608
Allen P Petway Jr		9,750		133		9,883		6,338		3,412		133		3,545
Kathleen A Boyle		9,740		143		9,883		6,331		3,409		143		3,552
Steven R Green		9,700		157		9,857		6,200		3,500		157		3,657
Daniel T Foran		9,600		252		9,852		6,240		3,360		252		3,612
Christopher J Neubert		9,630		221		9,851		5,300		4,330		221		4,551
James B Twining		9,650		160		9,810		6,273		3,377		160		3,537
Harold F Neville Jr		9,600		135		9,735		6,000		3,600		135		3,735
David B Haire		9,490		218		9,708		6,169		3,321		218		3,539

5

									Common Stock Beneficially Owned After This
	Common Stock Beneficially Owned Prior to this Offering								Offering
			Stock Options								Stock Options
			Exercisable				Number of				Exercisable
Name of Beneficial Owner	Number		within 60 days		Aggregate		Shares Offered		Number		within 60 days		Aggregate
Perry L Phaneuf		—		9,680		9,680		468		—		9,180		9,180
Joseph C Edwards		9,520		156		9,676		4,800		4,720		156		4,876
James B Pierik		9,510		152		9,662		5,000		4,510		152		4,662
Kevin R Wichman		9,510		132		9,642		3,000		6,510		132		6,642
Charles R Hearn		9,470		160		9,630		6,156		3,314		160		3,474
Thomas C Grella		9,380		181		9,561		2,345		7,035		181		7,216
Sidney J Lorio Jr		9,420		133		9,553		6,123		3,297		133		3,430
Edward J King		9,360		188		9,548		1,872		7,488		188		7,676
Bruce N Goodman		9,370		146		9,516		4,685		4,685		146		4,831
Stewart L Flaherty		9,370		121		9,491		6,000		3,370		121		3,491
Erik S Davis		9,320		155		9,475		3,320		6,000		155		6,155
Raymond K Dexter		9,310		153		9,463		4,655		4,655		153		4,808
Rod H Kamps		9,290		167		9,457		5,290		4,000		167		4,167
Stephen L Roberts		9,260		164		9,424		2,000		7,260		164		7,424
James R Mcquillan		9,230		164		9,394		6,000		3,230		164		3,394
Chad A Keim		9,240		149		9,389		2,240		7,000		149		7,149
Gary A Bramon		9,210		132		9,342		5,987		3,223		132		3,355
David W Deutsch		9,160		141		9,301		4,660		4,500		141		4,641
Timothy J O’Connor		9,040		214		9,254		5,400		3,640		214		3,854
Karla J Eastling		9,130		115		9,245		5,130		4,000		115		4,115
Greg R Solis		9,060		166		9,226		4,500		4,560		166		4,726
Jerry M Bagby		9,070		147		9,217		5,896		3,174		147		3,321
Birindar S Chawla		9,050		141		9,191		5,883		3,167		141		3,308
William C O’Connor		8,930		219		9,149		5,730		3,200		219		3,419
James F Bogart		8,990		149		9,139		5,844		3,146		149		3,295
Jeffrey A Cavender		8,970		135		9,105		5,831		3,139		135		3,274
Edward A Metz		8,960		140		9,100		5,824		3,136		140		3,276
Scott D Carson		8,920		141		9,061		5,798		3,122		141		3,263
Robin B Davidson		9,046		—		9,046		5,000		4,046		—		4,046
Robert D White		8,900		145		9,045		5,785		3,115		145		3,260
Michael E Ghelfi		8,760		266		9,026		5,694		3,066		266		3,332
Jeffrey M Goyette Sr		8,840		150		8,990		5,000		3,840		150		3,990
Donald E Simmons		8,820		148		8,968		3,820		5,000		148		5,148
Robert G Shambora		8,820		138		8,958		5,720		3,100		138		3,238
John H Graves		8,850		104		8,954		4,850		4,000		104		4,104
Douglas C Stafford		8,810		132		8,942		3,100		5,710		132		5,842
Reginald A Armstrong		8,660		188		8,848		4,404		4,256		188		4,444
Alan A Ioffredo		8,680		166		8,846		5,642		3,038		166		3,204
Mark J Angelo		8,690		155		8,845		3,900		4,790		155		4,945
Frank K Chase Jr		8,650		147		8,797		4,325		4,325		147		4,472
Dennis S Kersten		8,620		132		8,752		5,000		3,620		132		3,752
John E Mc Killen		8,740		—		8,740		2,000		6,740		—		6,740
William E Bishoff		8,550		163		8,713		5,550		3,000		163		3,163
Mark A Barrett		8,440		256		8,696		5,486		2,954		256		3,210
Mark K Durham		8,540		129		8,669		5,551		2,989		129		3,118
Kenneth W Van Leeuwen		8,490		168		8,658		3,890		4,600		168		4,768
John J Masus		8,500		143		8,643		3,655		4,845		143		4,988
Michael J Lerner		8,470		170		8,640		5,506		2,964		170		3,134
Ruth A Guillaume		8,640		—		8,640		4,000		4,640		—		4,640
John E Day Jr		8,480		151		8,631		3,392		5,088		151		5,239
Craig A Bernard		8,430		122		8,552		1,480		6,950		122		7,072
Michael S Bohmer		8,330		213		8,543		3,500		4,830		213		5,043
Charles R Haas Jr		8,390		131		8,521		5,454		2,936		131		3,067
Rebecca M Hergenroeder		8,350		167		8,517		5,000		3,350		167		3,517
George S Urist		8,360		147		8,507		5,434		2,926		147		3,073
Henry Sanchez		—		8,500		8,500		773		—		2,975		2,975
Edward Miller		—		8,500		8,500		26		—		7,850		7,850
Dorothy I Bickling		8,320		174		8,494		5,408		2,912		174		3,086
Thomas J Ouellette		8,340		148		8,488		4,000		4,340		148		4,488
Harold S Shrier		8,330		151		8,481		2,500		5,830		151		5,981
Kevin P Supka		8,180		283		8,463		4,000		4,180		283		4,463
Thomas H Ruggie		8,230		232		8,462		5,350		2,880		232		3,112
Douglas J Armstrong		8,430		—		8,430		5,430		3,000		—		3,000
Elizabeth A Emr		8,220		158		8,378		5,343		2,877		158		3,035
John P Overland		8,250		126		8,376		5,363		2,887		126		3,013
Bethany J Bryant		—		8,350		8,350		3,149		—		5,000		5,000
Carl M Sacchetti Jr		8,200		129		8,329		5,330		2,870		129		2,999
Michael J Williams		8,160		151		8,311		5,300		2,860		151		3,011
John V Picone		8,180		129		8,309		5,317		2,863		129		2,992
Harry M Barth		8,140		134		8,274		5,291		2,849		134		2,983
Arthur M Sgroi Jr		8,150		122		8,272		2,853		5,297		122		5,419
Michael R Myers		8,270		—		8,270		5,376		2,894		—		2,894

6

									Common Stock Beneficially Owned After This
	Common Stock Beneficially Owned Prior to this Offering								Offering
			Stock Options								Stock Options
			Exercisable				Number of				Exercisable
Name of Beneficial Owner	Number		within 60 days		Aggregate		Shares Offered		Number		within 60 days		Aggregate
John T Mynatt		6,190		2,077		8,267		3,095		3,095		2,077		5,172
Michael P Dunham		8,240		—		8,240		5,356		2,884		—		2,884
Andrew D Horowitz		8,110		122		8,232		4,110		4,000		122		4,122
Dudley H Otey		8,050		155		8,205		4,450		3,600		155		3,755
Shaun T Scott		8,050		135		8,185		5,233		2,817		135		2,952
David L Johanson		8,170		—		8,170		5,311		2,859		—		2,859
Christopher J Downey		8,010		159		8,169		3,000		5,010		159		5,169
Joseph H Stumm		7,970		179		8,149		3,100		4,870		179		5,049
David L Weible		8,010		137		8,147		5,207		2,803		137		2,940
Harvey S Berk		8,030		108		8,138		4,000		4,030		108		4,138
Alan C Hicks		7,960		164		8,124		5,174		2,786		164		2,950
Jeffrey A Cashmore		7,900		223		8,123		4,500		3,400		223		3,623
Randal A Perrier		7,930		144		8,074		5,155		2,775		144		2,919
James A Gunn Jr		7,910		128		8,038		5,142		2,768		128		2,896
William F Cappel		7,980		29		8,009		4,500		3,480		29		3,509
John J Canally		—		8,000		8,000		1,100		—		3,125		3,125
David P Olsen		7,850		143		7,993		4,226		3,624		143		3,767
Douglas W Kaats		7,990		—		7,990		5,194		2,796		—		2,796
Amy L Noel		7,830		151		7,981		5,090		2,740		151		2,891
James D Crosson		7,980		—		7,980		5,187		2,793		—		2,793
David E Kirkby		7,820		151		7,971		5,083		2,737		151		2,888
Beverly B Huber		7,820		144		7,964		1,000		6,820		144		6,964
Joan B Fuetsch		7,820		132		7,952		5,083		2,737		132		2,869
Michael G Botwinick		7,720		181		7,901		5,000		2,720		181		2,901
David J Abbs		7,660		240		7,900		4,970		2,690		240		2,930
George W Keever IV		7,740		152		7,892		5,031		2,709		152		2,861
Douglas B Leeson		7,700		182		7,882		5,005		2,695		182		2,877
Rose I Greene		7,750		125		7,875		5,000		2,750		125		2,875
Howard E Pakola		7,710		149		7,859		5,012		2,698		149		2,847
Vince G Covino		7,850		—		7,850		5,103		2,747		—		2,747
Ronald L Ricci		7,730		117		7,847		3,865		3,865		117		3,982
Craig G Bolanos Jr		7,620		192		7,812		2,667		4,953		192		5,145
Michael E Mullis		7,620		182		7,802		4,500		3,120		182		3,302
Robert J Miller II		7,690		112		7,802		2,690		5,000		112		5,112
Michael W Sigmon		7,650		117		7,767		2,450		5,200		117		5,317
Robert M Ellis		7,600		160		7,760		4,940		2,660		160		2,820
John B Leeson		7,760		—		7,760		3,000		4,760		—		4,760
Eugene L Krueger		7,620		137		7,757		4,953		2,667		137		2,804
Cory C Kraft		7,600		156		7,756		3,200		4,400		156		4,556
Lawrence R Teichman		7,520		231		7,751		4,500		3,020		231		3,251
Steven F Carter		7,570		155		7,725		4,920		2,650		155		2,805
Cris W Tuft		7,580		144		7,724		3,032		4,548		144		4,692
Vincent C Eckelkamp		7,580		143		7,723		4,000		3,580		143		3,723
Susan Boggioni		—		7,720		7,720		4,302		—		3,027		3,027
John T Mckinney		7,550		168		7,718		4,500		3,050		168		3,218
Glenn R Goldman		7,580		135		7,715		4,100		3,480		135		3,615
Brian N Everett		7,600		106		7,706		4,940		2,660		106		2,766
Leroy V Berry		7,630		74		7,704		4,960		2,670		74		2,744
Christian P Nelson		7,580		104		7,684		4,580		3,000		104		3,104
Rosann Arguello-Tanner		—		7,680		7,680		2,336		—		5,180		5,180
Anne O Niesen		7,490		169		7,659		4,869		2,621		169		2,790
Jacquelin A Moody		7,320		332		7,652		3,750		3,570		332		3,902
David J Roberts		7,650		—		7,650		2,650		5,000		—		5,000
Kenneth W Houldsworth III		7,530		100		7,630		4,895		2,635		100		2,735
Michael F Kwiatkowski		7,480		149		7,629		1,700		5,780		149		5,929
Gayl B Hynek		7,480		127		7,607		1,870		5,610		127		5,737
Kurtis S Pearson		7,490		113		7,603		4,869		2,621		113		2,734
William V Sheehy III		7,460		143		7,603		2,460		5,000		143		5,143
David C Howell		7,430		158		7,588		2,430		5,000		158		5,158
Barbara L Wolfe		7,450		134		7,584		745		6,705		134		6,839
David M Gallagher		7,440		133		7,573		4,836		2,604		133		2,737
David G Johnston		7,389		163		7,552		3,000		4,389		163		4,552
Michael Babyak Jr		7,300		245		7,545		3,650		3,650		245		3,895
Floyd W Griffin Jr		7,380		162		7,542		3,690		3,690		162		3,852
Michael L Jones		7,540		—		7,540		4,901		2,639		—		2,639
Keith E Hamilton		7,370		170		7,540		4,000		3,370		170		3,540
Frank T Mancini		7,420		107		7,527		4,823		2,597		107		2,704
Byron P Jordan Jr		7,390		136		7,526		2,200		5,190		136		5,326
Steven S Witek		7,410		112		7,522		4,817		2,593		112		2,705

7

									Common Stock Beneficially Owned After This
	Common Stock Beneficially Owned Prior to this Offering								Offering
			Stock Options								Stock Options
			Exercisable				Number of				Exercisable
Name of Beneficial Owner	Number		within 60 days		Aggregate		Shares Offered		Number		within 60 days		Aggregate
Malissia A Johnson		7,380		138		7,518		3,690		3,690		138		3,828
Francis X Astorino		7,310		190		7,500		4,751		2,559		190		2,749
James A Holindrake		7,450		47		7,497		4,843		2,607		47		2,654
Elizabeth L Wilson		7,360		134		7,494		3,200		4,160		134		4,294
Thomas F Joyce Jr		7,340		138		7,478		4,771		2,569		138		2,707
David M Muilenberg		7,100		337		7,437		4,615		2,485		337		2,822
Ewald M Von Kanel		7,430		—		7,430		4,830		2,600		—		2,600
Garry S Evans		7,300		114		7,414		4,745		2,555		114		2,669
Michael E Nelson		7,210		194		7,404		4,687		2,523		194		2,717
John D Unger		7,300		101		7,401		4,745		2,555		101		2,656
Kathleen C Buys		7,280		121		7,401		3,000		4,280		121		4,401
David A Perry		7,270		116		7,386		4,700		2,570		116		2,686
Ronald D Reynolds		7,370		—		7,370		2,500		4,870		—		4,870
Michael S David		7,060		293		7,353		4,589		2,471		293		2,764
Perry E Smith		7,230		121		7,351		2,500		4,730		121		4,851
James F Horrocks		7,150		196		7,346		4,600		2,550		196		2,746
Susan B Eldridge		7,220		119		7,339		3,610		3,610		119		3,729
Douglas B Jarman		7,210		117		7,327		4,687		2,523		117		2,640
Robert J Woods		7,180		133		7,313		4,667		2,513		133		2,646
Craig E Benjamin		7,060		230		7,290		3,060		4,000		230		4,230
Michael A Manning		7,270		—		7,270		4,726		2,544		—		2,544
Sean F Curley		7,270		—		7,270		4,726		2,544		—		2,544
Donald L Richard		7,130		123		7,253		3,200		3,930		123		4,053
Bart F Carr		7,100		149		7,249		3,550		3,550		149		3,699
Dennis A Lair		7,200		46		7,246		4,680		2,520		46		2,566
Laurence I Balter		7,110		134		7,244		4,622		2,488		134		2,622
Dana K Graves		7,040		197		7,237		3,000		4,040		197		4,237
James F King Jr		7,090		135		7,225		4,609		2,481		135		2,616
Steven M Goodman		7,060		128		7,188		4,500		2,560		128		2,688
Lynn E Williams		—		7,180		7,180		3,980		—		2,838		2,838
David G Herbst		6,840		310		7,150		2,850		3,990		310		4,300
Jeffrey B Neelon		7,040		98		7,138		4,576		2,464		98		2,562
Thomas A Skees		7,060		74		7,134		4,589		2,471		74		2,545
Mathias D Summers		7,050		56		7,106		4,583		2,467		56		2,523
Garth J Terlizzi Sr		7,050		51		7,101		4,583		2,467		51		2,518
Bart B Fernelius		7,000		84		7,084		4,550		2,450		84		2,534
Philip F Rongo Jr		6,950		134		7,084		3,000		3,950		134		4,084
Kelley M Martin		6,950		130		7,080		4,450		2,500		130		2,630
Gregory Merlino		6,950		113		7,063		4,518		2,432		113		2,545
John B Morrow		6,950		112		7,062		4,518		2,432		112		2,544
Richard C Donahue		6,920		119		7,039		4,498		2,422		119		2,541
Kenneth E Knapp		6,910		117		7,027		4,492		2,418		117		2,535
Mark R Witek		6,860		150		7,010		4,459		2,401		150		2,551
Masumi H Tripoli		6,870		135		7,005		4,465		2,405		135		2,540
John K Weisert		6,900		102		7,002		4,400		2,500		102		2,602
Robert L Franer Jr		6,850		126		6,976		4,453		2,397		126		2,523
Daniel E Langworthy		6,830		133		6,963		1,830		5,000		133		5,133
Philip E Noble		6,700		261		6,961		4,355		2,345		261		2,606
Bruce A Larsen		6,840		120		6,960		4,444		2,396		120		2,516
Gary W Cotter		6,920		19		6,939		1,720		5,200		19		5,219
Claude M Aldridge		6,770		129		6,899		3,300		3,470		129		3,599
Gerald A Seibert		6,710		169		6,879		4,300		2,410		169		2,579
Edward J Hickey Jr		6,710		166		6,876		4,000		2,710		166		2,876
Lee S Wolfe		6,730		127		6,857		4,375		2,355		127		2,482
Edwin L Good		6,710		140		6,850		4,310		2,400		140		2,540
Peter L Graham Sr		6,730		118		6,848		4,000		2,730		118		2,848
Mark L Hopkins		6,840		—		6,840		1,840		5,000		—		5,000
Daniel E Steichen		6,690		139		6,829		4,349		2,341		139		2,480
Joel D Hooper		6,710		117		6,827		4,362		2,348		117		2,465
Bryan K Shevak		6,700		124		6,824		2,500		4,200		124		4,324
James R Senkbeil		6,680		139		6,819		4,342		2,338		139		2,477
Timothy N Bearden		6,500		296		6,796		4,200		2,300		296		2,596
Richard D Noah		6,670		125		6,795		4,000		2,670		125		2,795
Joseph A Krier		6,550		242		6,792		2,150		4,400		242		4,642
Randolph C Byrd		6,580		210		6,790		4,200		2,380		210		2,590
Thad S Pugmire		6,680		106		6,786		4,342		2,338		106		2,444
Russell E Glickstern		6,600		186		6,786		4,290		2,310		186		2,496
Laurie Z Hyland		6,780		—		6,780		4,407		2,373		—		2,373
Roger E Woodruff		6,620		146		6,766		2,620		4,000		146		4,146
Todd E Frank		6,710		42		6,752		4,362		2,348		42		2,390
Kathy A Busch		6,670		78		6,748		4,336		2,334		78		2,412
Lance E Nelson		6,600		144		6,744		4,200		2,400		144		2,544

8

									Common Stock Beneficially Owned After This
	Common Stock Beneficially Owned Prior to this Offering								Offering
			Stock Options								Stock Options
			Exercisable				Number of				Exercisable
Name of Beneficial Owner	Number		within 60 days		Aggregate		Shares Offered		Number		within 60 days		Aggregate
Kenneth P Dipaola		6,640		102		6,742		4,316		2,324		102		2,426
John A Mcewan		6,600		135		6,735		4,290		2,310		135		2,445
David R Allen		6,580		113		6,693		1,680		4,900		113		5,013
Harvey H Jacobson		6,370		316		6,686		2,548		3,822		316		4,138
John C Malyon		—		6,680		6,680		4,070		—		2,338		2,338
Karin L Wold		—		6,680		6,680		4,056		—		2,338		2,338
Brad Jacobs		—		6,680		6,680		3,993		2,338		—		2,338
Jeff Wilkerson		—		6,680		6,680		3,941		—		2,380		2,380
David Y Millican		6,680		—		6,680		1,680		5,000		—		5,000
Jeffrey L Utter		6,680		—		6,680		1,680		5,000		—		5,000
Jonathan T Lewis		6,570		107		6,677		4,270		2,300		107		2,407
Jerry J Zins Jr		6,520		156		6,676		4,238		2,282		156		2,438
Kevin D Seacat		6,560		115		6,675		4,264		2,296		115		2,411
Jason D Main		6,630		45		6,675		2,200		4,430		45		4,475
Kevin M Collier		6,490		182		6,672		4,219		2,271		182		2,453
Bryan K Chew		6,500		121		6,621		500		6,000		121		6,121
Thomas C Lee		6,620		—		6,620		4,300		2,320		—		2,320
Margaret S Kosmerl		6,490		121		6,611		4,219		2,271		121		2,392
Jeffrey C Waltz		6,610		—		6,610		4,297		2,313		—		2,313
Scott C Pandillo		6,520		57		6,577		3,520		3,000		57		3,057
Gary W Barkman		6,470		95		6,565		4,200		2,270		95		2,365
Glenn A Hruska		6,470		94		6,564		3,000		3,470		94		3,564
Craig L Soule		6,480		77		6,557		4,212		2,268		77		2,345
Lincoln S Maclise		6,440		103		6,543		4,186		2,254		103		2,357
Mitchell H Gilbert		6,390		126		6,516		4,154		2,236		126		2,362
Nicholas J Travascio III		6,440		38		6,478		4,186		2,254		38		2,292
Scott C Dingman		6,340		136		6,476		4,121		2,219		136		2,355
Paul M Decelles		6,370		105		6,475		4,141		2,229		105		2,334
Richard J Martin		6,230		241		6,471		2,055		4,175		241		4,416
John F Cicotte		6,430		40		6,470		4,180		2,250		40		2,290
Howard C Richardson		6,290		164		6,454		4,089		2,201		164		2,365
Gary R Beels		6,330		124		6,454		3,798		2,532		124		2,656
Joseph D Esposito		6,270		182		6,452		4,076		2,194		182		2,376
Jerald G Rubin		6,340		111		6,451		4,121		2,219		111		2,330
Michael T Upton		6,270		172		6,442		4,076		2,194		172		2,366
Mark W Spelts		6,210		231		6,441		4,037		2,173		231		2,404
Paige H Kerr		1,940		4,500		6,440		767		1,679		3,000		4,679
Mitchell R Martin		6,320		118		6,438		3,320		3,000		118		3,118
Mark I Magnuson		6,360		67		6,427		4,134		2,226		67		2,293
Joseph P Colell Jr		6,320		101		6,421		4,108		2,212		101		2,313
Jay P Irving		6,300		115		6,415		4,000		2,300		115		2,415
David J Garner		6,290		122		6,412		4,089		2,201		122		2,323
Fredrick J Livingston		6,270		140		6,410		4,075		2,195		140		2,335
Michael K Donohue		6,320		54		6,374		4,100		2,220		54		2,274
Roger D Gaddis		6,230		139		6,369		4,050		2,180		139		2,319
Michael J Dudenhoeffer		6,310		25		6,335		2,310		4,000		25		4,025
Bruce Brundige		6,230		94		6,324		1,230		5,000		94		5,094
Michael P Mcgillicuddy		6,310		—		6,310		3,000		3,310		—		3,310
Larry D Wiens		6,200		109		6,309		666		5,534		109		5,643
Noah A Seidenberg		6,180		128		6,308		4,017		2,163		128		2,291
Robert W Huntley		6,180		119		6,299		4,017		2,163		119		2,282
David J Reiniger		6,160		122		6,282		2,660		3,500		122		3,622
Sandra Bromfield		6,270		—		6,270		4,076		2,194		—		2,194
Dicran B Haidostian		6,050		208		6,258		2,000		4,050		208		4,258
Richard F Kraft		6,170		62		6,232		4,000		2,170		62		2,232
Kathy P Kueider		6,060		150		6,210		1,500		4,560		150		4,710
Warren D Wise		6,060		150		6,210		1,500		4,560		150		4,710
Rex R Harris Jr		6,040		121		6,161		3,920		2,120		121		2,241
Neal A Broidy		6,040		119		6,159		3,926		2,114		119		2,233

9

									Common Stock Beneficially Owned After This
	Common Stock Beneficially Owned Prior to this Offering								Offering
			Stock Options								Stock Options
			Exercisable				Number of				Exercisable
Name of Beneficial Owner	Number		within 60 days		Aggregate		Shares Offered		Number		within 60 days		Aggregate
Joseph D Longo		5,910		248		6,158		3,000		2,910		248		3,158
Robert A Matson		6,050		104		6,154		3,933		2,117		104		2,221
Stephen J Spoltman		6,020		118		6,138		3,913		2,107		118		2,225
Mark D Query		6,110		25		6,135		3,960		2,150		25		2,175
Brian D Fenstermaker		6,010		124		6,134		3,907		2,103		124		2,227
James W Calder		6,000		126		6,126		2,500		3,500		126		3,626
John M Doneth		6,120		—		6,120		3,978		2,142		—		2,142
Norman A Hirsch		6,120		—		6,120		3,978		2,142		—		2,142
Xceed Financial Credit Union		6,032		84		6,116		3,924		2,111		76		2,187
Gerald J Egermier		5,990		125		6,115		1,490		4,500		125		4,625
Daniel M Yuhn		6,010		104		6,114		3,010		3,000		104		3,104
David N Gaylor		6,010		87		6,097		2,010		4,000		87		4,087
Ruth G Timme		5,970		122		6,092		3,881		2,089		122		2,211
Paul E Fitzpatrick		5,970		119		6,089		3,000		2,970		119		3,089
Carey M Wolf		6,000		72		6,072		2,000		4,000		72		4,072
Ann C Frigon		5,970		100		6,070		3,880		2,090		100		2,190
Stephen J Tock		5,940		123		6,063		3,840		2,100		123		2,223
Michael W Lutz		5,920		139		6,059		3,848		2,072		139		2,211
Michael W Frank		5,950		108		6,058		3,868		2,082		108		2,190
Gary L Wageman		5,930		109		6,039		3,855		2,075		109		2,184
David A Nyquist		5,970		67		6,037		3,881		2,089		67		2,156
John A Ehardt		5,860		176		6,036		3,800		2,060		176		2,236
Michael D Goostree		5,910		109		6,019		3,842		2,068		109		2,177
Timothy J Hamano		5,920		89		6,009		3,848		2,072		89		2,161
Dean E West		5,900		102		6,002		3,835		2,065		102		2,167
David V Sommers		5,890		106		5,996		3,828		2,062		106		2,168
Richard Daniels		5,810		160		5,970		2,905		2,905		160		3,065
Suzanne H Christian		5,820		141		5,961		2,820		3,000		141		3,141
Richard L Pistulka		5,830		111		5,941		3,780		2,050		111		2,161
Robert L Waring		5,820		118		5,938		3,783		2,037		118		2,155
Jeffrey C Johnson		5,640		284		5,924		2,140		3,500		284		3,784
Nolan B Vosler Jr		5,770		149		5,919		2,400		3,370		149		3,519
Bonita L Graff		5,760		150		5,910		3,260		2,500		150		2,650
Stephen E Saraiva		5,770		128		5,898		3,468		2,302		128		2,430
Mark G Zitzelsberger		5,770		121		5,891		3,750		2,020		121		2,141
Kenneth A Sanchez		5,760		127		5,887		3,700		2,060		127		2,187
Gary R Menconi		5,670		209		5,879		3,686		1,984		209		2,193
Richard L Stone Jr		5,770		89		5,859		3,751		2,019		89		2,108
Jerry W Thew		5,780		71		5,851		3,757		2,023		71		2,094
Dennis M Scouten		5,810		—		5,810		3,777		2,033		—		2,033
Stephen J Kasa		5,730		72		5,802		2,579		3,151		72		3,223
Craig T Verdi		5,640		129		5,769		2,800		2,840		129		2,969
John A Willett Jr		5,560		131		5,691		3,614		1,946		131		2,077
Bradley E Sheahan		5,550		138		5,688		3,608		1,942		138		2,080
Bruce A Altheide		5,520		164		5,684		3,588		1,932		164		2,096
William C Larson		5,680		—		5,680		3,680		2,000		—		2,000
David M Brenner		5,620		59		5,679		3,620		2,000		59		2,059
William D Frier		5,560		116		5,676		1,500		4,060		116		4,176
Thomas E Weinshenker		5,520		142		5,662		2,000		3,520		142		3,662
James E Joly		5,560		91		5,651		3,614		1,946		91		2,037
Kenneth W Roberts		5,540		88		5,628		650		4,890		88		4,978
Thomas D Foy Jr		5,490		111		5,601		3,569		1,921		111		2,032
Alan M Rickert		5,470		123		5,593		3,300		2,170		123		2,293
Dennis W Stavinoha		5,520		71		5,591		3,520		2,000		71		2,071
Janetta L Graber		5,480		105		5,585		2,685		2,795		105		2,900
Ursula R Daley		5,480		102		5,582		2,500		2,980		102		3,082
John J Meo Jr		5,470		101		5,571		3,556		1,914		101		2,015
Jay S Taussig		5,520		—		5,520		3,588		1,932		—		1,932
Ronald D Davis Jr		5,520		—		5,520		2,684		2,836		—		2,836
Glenda L Nichols		5,520		—		5,520		2,200		3,320		—		3,320
Diana G Dorn		—		5,500		5,500		725		—		1,925		1,925
Andrew G Castiglione		5,490		—		5,490		3,490		2,000		—		2,000
Richard C Miller		5,370		119		5,489		2,148		3,222		119		3,341
Keith E Murphy		5,350		130		5,480		2,140		3,210		130		3,340
Louis R Berteotti		5,380		92		5,472		2,000		3,380		92		3,472
James M Mabbutt		5,300		149		5,449		3,445		1,855		149		2,004
Michael A Reed		5,280		166		5,446		1,760		3,520		166		3,686
Frank Fantozzi		5,260		171		5,431		3,419		1,841		171		2,012
Michael S Rosen		5,420		—		5,420		2,420		3,000		—		3,000
Brian J Hood		5,280		128		5,408		2,000		3,280		128		3,408
Thomas J Babcock		5,250		131		5,381		1,562		3,688		131		3,819
Robert A Young		5,250		121		5,371		3,413		1,837		121		1,958
William F Schaffnit Jr		5,200		171		5,371		1,200		4,000		171		4,171

10

									Common Stock Beneficially Owned After This
	Common Stock Beneficially Owned Prior to this Offering								Offering
			Stock Options								Stock Options
			Exercisable				Number of				Exercisable
Name of Beneficial Owner	Number		within 60 days		Aggregate		Shares Offered		Number		within 60 days		Aggregate
Gary A Fisher		5,370		—		5,370		3,470		1,900		—		1,900
Jon M Mcgraw		5,330		38		5,368		3,465		1,865		38		1,903
Rick J Roemer		5,250		112		5,362		2,500		2,750		112		2,862
Clyde W Moore		5,270		66		5,336		3,425		1,845		66		1,911
Robert J Bacino		5,140		172		5,312		3,341		1,799		172		1,971
Marvin L Breach		5,190		114		5,304		3,374		1,816		114		1,930
Louis P Ingargiola		5,090		200		5,290		2,500		2,590		200		2,790
Stephanie L Hayes		5,286		—		5,286		3,436		1,850		—		1,850
Michael J Daneau		5,260		—		5,260		3,419		1,841		—		1,841
Dottie K Koontz		5,210		18		5,228		2,600		2,610		18		2,628
Paul M Goodworth		5,110		115		5,225		3,050		2,060		115		2,175
Donald S Hutchinson		5,080		132		5,212		3,302		1,778		132		1,910
Christopher M O’Gara		5,200		—		5,200		3,380		1,820		—		1,820
Roger L Flueckiger		5,180		—		5,180		3,367		1,813		—		1,813
Stephen L Franklin		5,180		—		5,180		3,367		1,813		—		1,813
John M Shutowick		5,160		—		5,160		3,354		1,806		—		1,806
Bradley E Neal		5,060		94		5,154		2,560		2,500		94		2,594
Mark A Welch		5,130		—		5,130		1,130		4,000		—		4,000
Jeffrey T Shaver		5,120		—		5,120		3,300		1,820		—		1,820
Wayne A Jacobson		4,980		84		5,064		3,237		1,743		84		1,827
Thomas Eschmann		4,930		130		5,060		2,930		2,000		130		2,130
Charles W Ready		4,940		113		5,053		3,211		1,729		113		1,842
Nghi T Ho		5,050		—		5,050		3,000		2,050		—		2,050
Jeffrey L Draughon		4,870		178		5,048		3,166		1,704		178		1,882
Lester D Butler Jr		5,000		27		5,027		3,250		1,750		27		1,777
Rodger D Jordan		5,020		—		5,020		1,000		4,020		—		4,020
Cory J Watson		4,870		149		5,019		3,166		1,704		149		1,853
Michael P Murray		—		5,018		5,018		73		—		4,718		4,718
Christopher J Wagner		4,980		37		5,017		3,237		1,743		37		1,780
Daniel P Barbiero		4,880		134		5,014		2,440		2,440		134		2,574
Richard F Berry Jr		5,000		10		5,010		3,250		1,750		10		1,760
Howard D O’Kelly		—		5,010		5,010		3,058		—		1,753		1,753
Jacqueline A Teague		—		5,010		5,010		2,336		—		2,510		2,510
Joseph W Moyer		4,890		115		5,005		3,179		1,711		115		1,826
Joseph P Young		5,000		—		5,000		3,250		1,750		—		1,750
Elizabeth F Warrem		—		5,000		5,000		399		—		2,075		2,075
Aaron M Smith		4,980		17		4,997		3,237		1,743		17		1,760
Stuart J Pastrich		4,870		123		4,993		2,870		2,000		123		2,123
Brian J Teichman		4,890		101		4,991		2,445		2,445		101		2,546
David A Ziegler		4,990		—		4,990		3,244		1,746		—		1,746
David B Niles		4,910		45		4,955		2,900		2,010		45		2,055
Gregory A Powell		4,860		91		4,951		2,430		2,430		91		2,521
Michael E Lehman		4,870		32		4,902		1,000		3,870		32		3,902
Rodger F Hargear		4,830		65		4,895		3,140		1,690		65		1,755
Patty J Laplant		4,850		—		4,850		1,500		3,350		—		3,350
William C Westcott		4,670		175		4,845		3,036		1,634		175		1,809
Alexander Paul		4,650		187		4,837		3,023		1,627		187		1,814
Scott G Holley		4,670		152		4,822		3,035		1,635		152		1,787
Jeffrey E Letendre		4,780		41		4,821		3,000		1,780		41		1,821
Patrick B Morrow		4,620		180		4,800		3,003		1,617		180		1,797
Daniel P Hazewski		4,620		133		4,753		1,600		3,020		133		3,153
Arthur P Colamarino		4,650		48		4,698		3,023		1,627		48		1,675
Garren J Sepede		4,510		173		4,683		2,932		1,578		173		1,751
Elyssa C Lamoureux		—		4,670		4,670		2,213		—		2,335		2,335
Thomas R Berry		4,520		146		4,666		2,938		1,582		146		1,728
Mario E Osorio		4,590		71		4,661		1,250		3,340		71		3,411
Kathy A Howe		4,470		189		4,659		2,270		2,200		189		2,389
Paul M Hoghaug		4,540		96		4,636		2,940		1,600		96		1,696
Richard L Terrill		4,520		115		4,635		2,260		2,260		115		2,375
Scott W Doll		4,560		47		4,607		2,964		1,596		47		1,643
Dominic Nori		4,420		147		4,567		2,000		2,420		147		2,567
William T Puplava		4,540		26		4,566		2,040		2,500		26		2,526
Richard L Greene		4,420		124		4,544		2,873		1,547		124		1,671
David A Yaegers		4,520		—		4,520		520		4,000		—		4,000
Scott P Laruez Sr		4,500		—		4,500		2,925		1,575		—		1,575
William A Mcdonough		4,370		104		4,474		2,000		2,370		104		2,474
Eric J Vincent		4,400		68		4,468		2,860		1,540		68		1,608
Ron D Brown Jr		4,350		115		4,465		2,827		1,523		115		1,638

11

									Common Stock Beneficially Owned After This
	Common Stock Beneficially Owned Prior to this Offering								Offering
			Stock Options								Stock Options
			Exercisable				Number of				Exercisable
Name of Beneficial Owner	Number		within 60 days		Aggregate		Shares Offered		Number		within 60 days		Aggregate
Lawrence J Donna		4,370		92		4,462		2,841		1,529		92		1,621
Lisa A Bodine		4,220		235		4,455		1,772		2,448		235		2,683
Robert A Guy		4,330		107		4,437		2,815		1,515		107		1,622
Michael A Kincheloe		4,360		61		4,421		2,834		1,526		61		1,587
James A Nelson		4,260		130		4,390		2,769		1,491		130		1,621
Jerry R Gray		4,260		124		4,384		2,769		1,491		124		1,615
Bruce I Heymont		4,250		117		4,367		2,125		2,125		117		2,242
Michelle R Zanoni		3,340		1,000		4,340		2,821		519		1,000		1,519
Richard P Crean		4,200		138		4,338		2,730		1,470		138		1,608
Timothy C Byers		4,330		—		4,330		1,330		3,000		—		3,000
Vincent A Pallitto Jr		4,130		194		4,324		2,630		1,500		194		1,694
Carroll J Domangue Jr		4,200		117		4,317		2,730		1,470		117		1,587
Bruce A Sanborn		4,190		92		4,282		1,400		2,790		92		2,882
Alan J Webb		4,280		—		4,280		2,782		1,498		—		1,498
Herbert C Cumming Jr		4,270		—		4,270		2,776		1,494		—		1,494
Michael D Allard		4,040		228		4,268		2,000		2,040		228		2,268
Kameron J Carlson		4,250		17		4,267		2,763		1,487		17		1,504
John M Abood		4,170		95		4,265		2,711		1,459		95		1,554
Richard T Curran		4,210		51		4,261		2,737		1,473		51		1,524
Nancy A Carlson		4,250		—		4,250		2,763		1,487		—		1,487
Gordon L Nelson		4,090		129		4,219		2,659		1,431		129		1,560
Scott E Grooms		4,100		115		4,215		2,665		1,435		115		1,550
James W Blazek		4,180		12		4,192		2,717		1,463		12		1,475
Robert E Nichols		4,120		65		4,185		1,100		3,020		65		3,085
Paul S Thomas		4,180		—		4,180		2,717		1,463		—		1,463
Robert D Kantor		4,040		137		4,177		2,363		1,677		137		1,814
Robert A Garcia		4,040		128		4,168		2,500		1,540		128		1,668
Laurence E Lof		4,150		—		4,150		2,698		1,452		—		1,452
Samuel S Racster		4,060		64		4,124		2,639		1,421		64		1,485
Charles W Maxim		3,970		105		4,075		2,370		1,600		105		1,705
Nazanin N Ghabai		—		4,040		4,040		1,893		1,169		700		1,869
William S Temm Jr		3,910		125		4,035		1,955		1,955		125		2,080
Lester H Lee Jr		3,910		123		4,033		2,542		1,368		123		1,491
Richard J Ruba		3,880		141		4,021		2,522		1,358		141		1,499
Ralph H Stowell		—		4,000		4,000		48		—		2,050		2,050
Melvin S Goldstein		3,780		123		3,903		1,900		1,880		123		2,003
Rick R Moore		3,900		—		3,900		2,535		1,365		—		1,365
William M Guess		3,850		47		3,897		1,200		2,650		47		2,697
Douglas J Labar		3,810		83		3,893		2,410		1,400		83		1,483
Sean D Patikas-Hunter		3,820		73		3,893		1,500		2,320		73		2,393
James M Frawley		3,740		149		3,889		1,740		2,000		149		2,149
Jonathan A Blumenthal		3,710		163		3,873		2,412		1,298		163		1,461
William J Haskins		3,730		103		3,833		2,425		1,305		103		1,408
Paul K Kiker Jr		3,720		82		3,802		2,418		1,302		82		1,384
Ronald Mazzarella		3,760		30		3,790		2,444		1,316		30		1,346
John P Keeney		3,500		250		3,750		1,000		2,500		250		2,750
Sarah B Cannon		3,740		—		3,740		2,431		1,309		—		1,309
Toby J Lafont		3,640		99		3,739		2,366		1,274		99		1,373
Gregory A Korbekian		3,730		—		3,730		2,425		1,305		—		1,305
Ricky A Meyer		3,560		169		3,729		2,314		1,246		169		1,415
David R Steckler		3,720		—		3,720		2,400		1,320		—		1,320
Michael D Haverkamp		3,560		142		3,702		2,300		1,260		142		1,402
Richard D Pecson		3,590		97		3,687		2,000		1,590		97		1,687
Stephen L Temple		3,620		42		3,662		2,353		1,267		42		1,309
Grant E Hartvigson		3,530		131		3,661		700		2,830		131		2,961
Timothy H Mebane		3,530		130		3,660		1,059		2,471		130		2,601
Lee R Donais		3,650		—		3,650		2,372		1,278		—		1,278
William N Scanlon		3,560		77		3,637		2,314		1,246		77		1,323
Eric D Roth Jr		3,520		113		3,633		2,288		1,232		113		1,345
William R Flynn		3,500		117		3,617		2,000		1,500		117		1,617
Kirby L Horan		—		3,600		3,600		51		—		2,300		2,300
Marc C Davis		3,460		129		3,589		2,249		1,211		129		1,340
Peggy W Lyon		3,430		111		3,541		2,230		1,200		111		1,311
Alexander S Lambros Jr		3,530		—		3,530		2,295		1,235		—		1,235
Jacqueline J Lambros		3,530		—		3,530		2,295		1,235		—		1,235

12

									Common Stock Beneficially Owned After This
	Common Stock Beneficially Owned Prior to this Offering								Offering
			Stock Options								Stock Options
			Exercisable				Number of				Exercisable
Name of Beneficial Owner	Number		within 60 days		Aggregate		Shares Offered		Number		within 60 days		Aggregate
Scott W Yanker		3,380		133		3,513		1,400		1,980		133		2,113
Charles J Larocca		3,390		117		3,507		1,890		1,500		117		1,617
Robert J Comeaux Jr		3,400		105		3,505		2,210		1,190		105		1,295
Andrew D Lang		3,390		78		3,468		390		3,000		78		3,078
Gregory M Thorn		3,330		124		3,454		2,165		1,165		124		1,289
Mark A Peck		3,310		74		3,384		2,150		1,160		74		1,234
Gregory S Tarr		3,290		91		3,381		2,100		1,190		91		1,281
Trudy L Leen		3,300		59		3,359		2,145		1,155		59		1,214
Perry D Dougherty		3,220		128		3,348		1,130		2,090		128		2,218
Cezar Cruel		—		3,340		3,340		2,028		—		1,169		1,169
Marlo T Cote		—		3,340		3,340		2,028		—		1,169		1,169
Joseph S Mulkern		—		3,340		3,340		1,990		—		1,169		1,169
Timothy Murray		—		3,340		3,340		1,990		—		1,169		1,169
Michael S Lincoln		3,110		191		3,301		1,000		2,110		191		2,301
James F Steen		3,220		63		3,283		2,000		1,220		63		1,283
Keith D Green		3,260		21		3,281		2,000		1,260		21		1,281
Brian H Anderson		3,260		—		3,260		2,119		1,141		—		1,141
Francis C Bogacz		3,240		15		3,255		2,106		1,134		15		1,149
Roger L Wilson		3,140		114		3,254		1,570		1,570		114		1,684
Wallace C Burgoyne Jr		3,040		206		3,246		1,700		1,340		206		1,546
Thomas E Pewitt		3,240		—		3,240		2,106		1,134		—		1,134
Gregg C Buxton		3,190		42		3,232		2,073		1,117		42		1,159
Jerome Krantz		3,080		80		3,160		2,002		1,078		80		1,158
Terry L Hoppes		3,080		75		3,155		2,002		1,078		75		1,153
Tracy A Strous		3,010		122		3,132		1,500		1,510		122		1,632
Timothy J Mardin		3,000		126		3,126		1,950		1,050		126		1,176
Patrick K Crimmins		3,100		—		3,100		1,500		1,600		—		1,600
Richard L Carman		2,990		87		3,077		1,944		1,046		87		1,133
Todd R Walsh		3,060		—		3,060		1,989		1,071		—		1,071
Joseph I Rosenberger		2,940		119		3,059		940		2,000		119		2,119
Michael F Macrory		2,940		116		3,056		1,911		1,029		116		1,145
Paul Clayton		3,020		—		3,020		1,963		1,057		—		1,057
Allison L Couch		—		3,000		3,000		200		—		2,350		2,350
Maura M Kautsky		—		3,000		3,000		79		—		1,800		1,800
Scott E Vock		—		3,000		3,000		48		—		1,050		1,050
Francis L Schmittinger		2,990		—		2,990		1,944		1,046		—		1,046
Raymond A Erker		2,980		—		2,980		1,937		1,043		—		1,043
Robert J Holdford		2,880		57		2,937		1,872		1,008		57		1,065
Michigan Schools/Government Credit Union		2,924		—		2,924		1,901		1,023		—		1,023
Edward L Marmande		2,900		—		2,900		1,885		1,015		—		1,015
Nabil S Abdelhamid		2,840		44		2,884		1,840		1,000		44		1,044
Adam J Tobin		2,880		—		2,880		1,872		1,008		—		1,008
Vincent Morris		2,880		—		2,880		1,872		1,008		—		1,008
Michael D Beach		2,860		—		2,860		1,859		1,001		—		1,001
Salvatore P Ventimiglia		2,810		47		2,857		610		2,200		47		2,247
Poonum Vasishth		2,750		82		2,832		800		1,950		82		2,032
Duncan E Chun		2,810		5		2,815		1,810		1,000		5		1,005
Ryan T Smyth		—		2,800		2,800		45		—		980		980
Donald W Ferguson Jr		2,790		—		2,790		1,395		1,395		—		1,395
Mark A Dunn		2,690		99		2,789		1,600		1,090		99		1,189
Roger J Houston		2,690		80		2,770		675		2,015		80		2,095
Kenneth W Arutunian		2,720		—		2,720		1,768		952		—		952
Michael L Rosenberg		2,600		88		2,688		1,690		910		88		998
SAFE Credit Union		2,686		—		2,686		1,746		940		—		940
Leo Iacobelli		2,680		—		2,680		1,742		938		—		938
Jon K Cook		2,670		—		2,670		1,736		934		—		934
Anthony B Clement		2,540		36		2,576		840		1,700		36		1,736
Patricia O Kusek		2,570		—		2,570		1,200		1,370		—		1,370
Craig Watts		2,520		—		2,520		1,520		1,000		—		1,000
Richard M Marzano		2,510		—		2,510		510		2,000		—		2,000
Gary J Deardorff		2,500		—		2,500		1,625		875		—		875
Eric J Batey		2,460		—		2,460		600		1,860		—		1,860
Randy Kinchen		2,430		—		2,430		1,580		850		—		850
The Golden 1 Credit Union		2,011		171		2,182		1,321		704		134		838
B. David Goldstein		2,170		—		2,170		1,411		759		—		759
Premier America Credit Union		2,011		32		2,043		1,307		704		32		736
Western Corporate Federal Credit Union		2,011		—		2,011		1,307		704		—		704
Michael W Anderson		—		2,000		2,000		13		—		1,500		1,500
Jeff A Schuetts		1,990		—		1,990		990		1,000		—		1,000
Michael V Biggs		1,960		—		1,960		1,274		686		—		686

13

									Common Stock Beneficially Owned After This
	Common Stock Beneficially Owned Prior to this Offering								Offering
			Stock Options								Stock Options
			Exercisable				Number of				Exercisable
Name of Beneficial Owner	Number		within 60 days		Aggregate		Shares Offered		Number		within 60 days		Aggregate
Eli Lilly Federal Credit Union		1,810		—		1,810		1,177		633		—		633
USE Credit Union		1,810		—		1,810		1,177		633		—		633
Kristen S Whisnant		—		1,800		1,800		25		—		1,280		1,280
Nicolina A Stewart		1,780		—		1,780		1,157		623		—		623
Kevin W Lange		1,460		284		1,744		949		511		284		795
Roger A Clarkson		1,720		21		1,741		1,118		602		21		623
Scott Sinclair		—		1,700		1,700		26		—		1,050		1,050
Erin P Casey		—		1,600		1,600		239		—		950		950
Robert Rogerson		1,370		217		1,587		754		616		217		833
David J Mcmenamin		1,420		126		1,546		923		497		126		623
Laura S Sexton		—		1,500		1,500		26		—		850		850
Kerry A Pierce		—		1,500		1,500		20		—		1,000		1,000
David A Caruso		1,280		209		1,489		400		880		209		1,089
Gregory R Powell		1,220		219		1,439		793		427		219		646
Stuart Ng		1,230		114		1,344		630		600		114		714
Sharon M Olson		1,130		151		1,281		725		405		151		556
Daniel J Smith		1,130		146		1,276		550		580		146		726
Wayne D Wagner Jr		1,110		138		1,248		222		888		138		1,026
Merton C Cawood		1,110		128		1,238		722		388		128		516
Wealth Enhancement Group		—		1,201		1,201		134		—		640		640
Dushyant J Shah		1,060		102		1,162		530		530		102		632
Eric C Lee		990		137		1,127		644		346		137		483
Michael W Cartwright		1,020		71		1,091		663		357		71		428
Carlas B Allgood		990		101		1,091		590		400		101		501
Kevin J Halloran		890		201		1,091		390		500		201		701
Clark L Permann		920		144		1,064		598		322		144		466
Meredith E Flautt Jr		930		128		1,058		605		325		128		453
Thomas C Stefaniak		910		128		1,038		590		320		128		448
Robert B Glenn		910		117		1,027		592		318		117		435
John W Hardy Jr		880		146		1,026		572		308		146		454
Craig A Horner		1,020		—		1,020		663		357		—		357
William P Tyler Jr		790		227		1,017		370		420		227		647
Thomas A Konkowski		1,010		—		1,010		657		353		—		353
Jo-Anne K Graham		870		139		1,009		566		304		139		443
Abdiel A Valenzuela		—		1,000		1,000		16		—		350		350
Barbara Foster		—		1,000		1,000		16		—		350		350
Brian V Kearns		850		141		991		550		300		141		441
Marc A Neville		940		47		987		611		329		47		376
Ronald A Wrobel		910		71		981		300		610		71		681
Mark G Trevenna		970		—		970		620		350		—		350
Henry E Kramarski		960		—		960		624		336		—		336
Edward G Martell		880		80		960		572		308		80		388
Angus G Mceachran III		770		190		960		501		269		190		459
Scott J Kleiman		840		109		949		546		294		109		403
Jason C Holt		780		169		949		350		430		169		599
Marybeth Moran		940		—		940		611		329		—		329
James A Helfinstine		840		85		925		440		400		85		485
Southland Credit Union		905		—		905		588		317		—		317
Donald A Rich		780		117		897		300		480		117		597
Ricky E Johnson		720		176		896		468		252		176		428
James R Siegfried		720		167		887		468		252		167		419
Teresa L Flynn		870		—		870		566		304		—		304
Fran Cunningham		850		—		850		500		350		—		350
Robert L Errico		670		174		844		436		234		174		408
Ronnie M Bloom		720		113		833		468		252		113		365
Gary D Russell		740		91		831		480		260		91		351
Larry J Smith		600		222		822		300		300		222		522
Thomas W Drouin		770		—		770		501		269		—		269
Christopher L Boggs		610		158		768		200		410		158		568
Nicholas M Orobello		650		96		746		423		227		96		323
Daniel F Eckert		720		—		720		468		252		—		252
James E Hendries		660		60		720		429		231		60		291
David W Boniface Sr		560		114		674		300		260		114		374
Michael W Creatore		660		—		660		429		231		—		231
Michael P Amico		640		—		640		416		224		—		224
Gary N Holland		620		—		620		403		217		—		217

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									Common Stock Beneficially Owned After This
	Common Stock Beneficially Owned Prior to this Offering								Offering
			Stock Options								Stock Options
			Exercisable				Number of				Exercisable
Name of Beneficial Owner	Number		within 60 days		Aggregate		Shares Offered		Number		within 60 days		Aggregate
Russell C Johnson III		450		169		619		250		200		169		369
Lori K Lambert		510		104		614		332		178		104		282
Bobby L Yount		580		20		600		377		203		20		223
Michael J Miller		—		600		600		11		—		340		340
Robin L Weber		—		600		600		11		—		340		340
Michael P Jacobs		470		126		596		295		175		126		301
Geal F Talbert		480		103		583		312		168		103		271
Mark A Larimore		440		141		581		140		300		141		441
Geoffrey A Lanceley		460		103		563		299		161		103		264
Jeffrey R Karp		420		115		535		150		270		115		385
Ralph D Burnett		480		49		529		312		168		49		217
Sandra C Henderson		—		500		500		8		—		175		175
Everette L Talbot		370		127		497		241		129		127		256
Roger A Pugh		430		61		491		280		150		61		211
Jerry L Emmons		380		109		489		247		133		109		242
Jason J Croix		350		109		459		225		125		109		234
David J Brady		440		—		440		250		190		—		190
Jerry D Reder Jr		390		43		433		190		200		43		243
Gary A Richman		380		43		423		247		133		43		176
Steven K Atkins		380		30		410		247		133		30		163
David S Dixon		350		59		409		200		150		59		209
Thomas P Furlong		290		110		400		189		101		110		211
Steven G Crawford		290		100		390		189		101		100		201
Keith W Somers		310		53		363		202		108		53		161
ESL Investment Services LLC.		—		342		342		19		—		213		213
Paul R Hammersmith		260		75		335		169		91		75		166
Michael E Sbonik		260		69		329		169		91		69		160
Peter C Covino, III		320		—		320		208		112		—		112
Kenneth Dicicco		310		—		310		200		110		—		110
Amanda J Jarvis		—		300		300		8		—		105		105
James E Secker		290		—		290		145		145		—		145
John A Gaines		280		—		280		182		98		—		98
North Island Credit Union		—		225		225		4		—		160		160
East West Bank		—		182		182		15		—		87		87
Jeffrey J Vincent		166		—		166		106		60		—		60
Superior Fed. Credit Union		—		91		91		10		—		44		44
Omni American Bank		—		84		84		10		—		29		29
Bank Of Clarke County		—		74		74		7		—		36		36
CNB Bank		—		22		22		1		—		8		8
Bethpage Federal Credit Union		—		15		15		4		—		5		5
People’s Trust Federal Credit Union		—		13		13		4		—		4		4
Ronald E Donais		—		1,670		1,670		—		—		1,670		1,670
Barbara Z Peck		—		1,000		1,000		—		—		1,000		1,000
John J McLaughlin		—		900		900		—		—		900		900
John S Tuve		11,780		167		11,947		—		11,780		167		11,947
Christian L Webb		7,740		73		7,813		—		7,740		73		7,813
Israel T Jacob		6,880		107		6,987		—		6,880		107		6,987
James J Smith		5,650		—		5,650		—		5,650		—		5,650
Robert J Stark		3,160		—		3,160		—		3,160		—		3,160
Alfred G Kovacs		1,180		—		1,180		—		1,180		—		1,180
Dennis R Nolte		320		61		381		—		320		61		381
J.R. H Krause		830		174		1,004		—		830		174		1,004
Elizabeth Eastman		3,330		6,670		10,000		—		3,330		6,670		10,000
Julius S Hutchinson		510		—		510		—		510		—		510
		6,849,294		6,315,842		13,165,136		6,692,396		3,716,156		2,477,434		6,193,590

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SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

	LPL INVESTMENT HOLDINGS INC.(Registrant)
Date: November 3, 2010	/s/ Robert J. Moore
	Robert J. Moore
	Chief Financial Officer

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