Attached files
| file | filename |
|---|---|
| EX-99.1 - PRESS RELEASE - LPL Financial Holdings Inc. | a20141124pressrelease.htm |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM 8-K
CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF
THE SECURITIES EXCHANGE ACT OF 1934
November 21, 2014
Date of report (date of earliest event reported)
LPL Financial Holdings Inc.
(Exact name of registrant as specified in its charter)
Delaware | 001-34963 | 20-3717839 |
(State or other jurisdictions of incorporation or organization) | (Commission File Number) | (I.R.S. Employer Identification Nos.) |
75 State Street
Boston MA 02109
(Address of principal executive offices) (Zip Code)
(617) 423-3644
(Registrant's telephone number, including area code)
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 registrants 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)) |
Item 5.02 | Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | |
On November 21, 2014, H. Paulett Eberhart was elected as a director of LPL Financial Holdings Inc. (the “Company”) and as a member of the audit committee of the board of directors of the Company (the “Board”).
The Board has determined that Ms. Eberhart is independent under applicable standards of the Nasdaq Stock Market and Securities and Exchange Commission and is an “audit committee financial expert” as defined under Item 407 of Regulation S-K.
Pursuant to the Company’s non-employee director compensation policy, Ms. Eberhart was granted 1,410 restricted shares of the Company’s common stock on November 21, 2014. The restricted shares are scheduled to vest in full on November 21, 2016.
Item 7.01 | Regulation FD Disclosure | |
A copy of the press release issued by the Company in connection with Ms. Eberhart’s election is furnished with this Form 8-K and attached hereto as Exhibit 99.1.
Exhibit 99.1 shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities under that Section and shall not be deemed to be incorporated by reference into any filing of the Company under the Securities Act of 1933, as amended, or the Exchange Act.
Item 9.01 | Financial Statements and Exhibits. | ||
(d) | Exhibits | ||
99.1 | Press Release dated November 24, 2014 (“H. Paulett Eberhart Elected to LPL Financial Board of Directors”) | ||
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 FINANCIAL HOLDINGS INC. | ||
By: | /s/ David P. Bergers | |
David P. Bergers | ||
General Counsel | ||
Dated: November 21, 2014