5/9/20240001397911false00013979112024-05-092024-05-09



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
Date of Report (Date of earliest event reported): May 9, 2024
LPL Financial Holdings Inc.
(Exact name of registrant as specified in its charter)
Delaware001-3496320-3717839
(State or other jurisdictions of incorporation)(Commission File Number)(I.R.S. Employer Identification No.)
4707 Executive Drive,
San Diego,
California
92121
(Address of principal executive offices)(Zip Code)
Registrant's telephone number, including area code:
(800)877-7210
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:

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

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

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

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:
Title of each classTrading Symbol(s)Name of each exchange on which registered
Common Stock - par value $0.001 per shareLPLAThe Nasdaq Global Select Market
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐



Item 5.07Submission 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:

NomineeVotes ForVotes AgainstAbstentionsBroker Non-Votes
Dan H. Arnold66,582,976309,86916,9883,695,473
Edward C. Bernard66,769,575117,49222,7663,695,473
H. Paulett Eberhart65,571,2021,314,44124,1903,695,473
William F. Glavin, Jr.65,937,030872,400100,4033,695,473
Albert J. Ko66,778,317110,06121,4553,695,473
Allison H. Mnookin65,455,8491,434,15519,8293,695,473
Anne M. Mulcahy64,557,4622,333,59818,7733,695,473
James S. Putnam64,645,0952,247,96416,7743,695,473
Richard P. Schifter62,854,4474,031,40223,9843,695,473
Corey E. Thomas65,946,231865,55698,0463,695,473

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 abstained from voting on the proposal. There were 3,695,473 broker non-votes on the proposal.




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/ Gregory M. Woods
Name: Gregory M. Woods
Title: Secretary


Dated: May 10, 2024

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May 09, 2024
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Document Period End Date May 09, 2024
Entity Central Index Key 0001397911
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Document Type 8-K
Entity Registrant Name LPL Financial Holdings Inc.
Entity Incorporation, State or Country Code DE
Entity File Number 001-34963
Entity Tax Identification Number 20-3717839
Entity Address, Address Line One 4707 Executive Drive,
Entity Address, City or Town San Diego,
Entity Address, State or Province CA
Entity Address, Postal Zip Code 92121
City Area Code (800)
Local Phone Number 877-7210
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Soliciting Material false
Pre-commencement Tender Offer false
Pre-commencement Issuer Tender Offer false
Title of 12(b) Security Common Stock - par value $0.001 per share
Trading Symbol LPLA
Security Exchange Name NASDAQ
Entity Emerging Growth Company false
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