LPL Financial Holdings Inc. Files 8-K on Shareholder Matters

Ticker: LPLA · Form: 8-K · Filed: May 10, 2024 · CIK: 1397911

Sentiment: neutral

Topics: corporate-governance, shareholder-vote

Related Tickers: LPLA

TL;DR

LPL Financial Holdings Inc. filed an 8-K for a shareholder vote on May 9th.

AI Summary

LPL Financial Holdings Inc. filed an 8-K on May 10, 2024, reporting on matters submitted to a vote of security holders on May 9, 2024. The filing details the company's corporate structure and addresses, with no specific financial transactions or significant events detailed in the provided text.

Why It Matters

This filing indicates that LPL Financial Holdings Inc. held a shareholder vote, which is a routine corporate governance event. The outcome of such votes can sometimes signal management's direction or shareholder sentiment.

Risk Assessment

Risk Level: low — The filing is a routine 8-K reporting a shareholder vote, with no immediate financial implications or significant changes disclosed.

Key Players & Entities

FAQ

What was the specific date of the shareholder vote reported in the 8-K?

The earliest event reported, which includes the submission of matters to a vote of security holders, occurred on May 9, 2024.

What is the primary purpose of this 8-K filing?

This 8-K filing is to report on matters submitted to a vote of security holders.

What is the official filing date of this 8-K report?

The 8-K report was filed as of May 10, 2024.

Where are LPL Financial Holdings Inc.'s principal executive offices located?

The principal executive offices are located at 4707 Executive Drive, San Diego, California 92121.

Under which section of the Securities Exchange Act of 1934 is this 8-K filed?

This 8-K is filed pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934.

Filing Stats: 661 words · 3 min read · ~2 pages · Grade level 9.5 · Accepted 2024-05-10 16:11:41

Key Financial Figures

Filing Documents

07 Submission of Matters to a Vote of Security Holders

Item 5.07 Submission of Matters to a Vote of Security Holders. The Company held its 2024 annual meeting of stockholders (the "Annual Meeting") on May 9, 2024. The stockholders of the Company considered and acted upon the following proposals at the Annual Meeting: 1. Election of Directors. By the vote reported below, the stockholders elected the following ten nominees to serve as directors of the Company for a term to end at the 2025 annual meeting of stockholders: Nominee Votes For Votes Against Abstentions Broker Non-Votes Dan H. Arnold 66,582,976 309,869 16,988 3,695,473 Edward C. Bernard 66,769,575 117,492 22,766 3,695,473 H. Paulett Eberhart 65,571,202 1,314,441 24,190 3,695,473 William F. Glavin, Jr. 65,937,030 872,400 100,403 3,695,473 Albert J. Ko 66,778,317 110,061 21,455 3,695,473 Allison H. Mnookin 65,455,849 1,434,155 19,829 3,695,473 Anne M. Mulcahy 64,557,462 2,333,598 18,773 3,695,473 James S. Putnam 64,645,095 2,247,964 16,774 3,695,473 Richard P. Schifter 62,854,447 4,031,402 23,984 3,695,473 Corey E. Thomas 65,946,231 865,556 98,046 3,695,473 2. Ratification of the Appointment of Deloitte & Touche LLP . The stockholders ratified the appointment of Deloitte & Touche LLP by the audit and risk committee of the Board as the Company's independent registered public accounting firm for the current fiscal year. 68,433,699 shares voted for the proposal; 2,157,403 shares voted against the proposal; and 14,204 shares abstained from voting on the proposal. There were no broker non-votes on the proposal. 3. Advisory Vote on Named Executive Officer Compensation . The stockholders approved, on an advisory, non-binding basis, the compensation paid to the named executive officers of the Company, as disclosed in the Company's definitive proxy statement on Schedule 14A filed with the SEC on March 28, 2024 relating to the Annual Meeting. 64,656,343 shares voted for the proposal; 2,225,660 shares voted against the proposal; and 27,830 shares abstaine

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