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    LPL Financial Holdings Inc. filed SEC Form 8-K: Submission of Matters to a Vote of Security Holders

    5/23/25 4:11:46 PM ET
    $LPLA
    Investment Bankers/Brokers/Service
    Finance
    Get the next $LPLA alert in real time by email
    lpla-20250523
    5/23/20250001397911false00013979112025-05-232025-05-23



    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 23, 2025
    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 2025 annual meeting of stockholders (the “Annual Meeting”) on May 22, 2025. 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 2026 annual meeting of stockholders:

    NomineeVotes ForVotes AgainstAbstentionsBroker Non-Votes
    Edward C. Bernard66,504,61225,18819,4463,669,023
    H. Paulett Eberhart64,902,3021,630,01816,9263,669,023
    William F. Glavin, Jr.66,001,441529,42418,3813,669,023
    Albert J. Ko66,507,50122,13119,6143,669,023
    Allison H. Mnookin65,835,395696,74017,1113,669,023
    Anne M. Mulcahy63,426,0783,107,18815,9803,669,023
    James S. Putnam64,417,6302,116,25815,3583,669,023
    Richard P. Schifter64,380,9992,148,76119,4863,669,023
    Richard Steinmeier66,252,462280,32316,4613,669,023
    Corey E. Thomas66,219,983309,46419,7993,669,023

    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. 67,787,387 shares voted for the proposal; 2,417,716 shares voted against the proposal; and 13,166 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 25, 2025 relating to the Annual Meeting. 64,289,292 shares voted for the proposal; 2,181,183 shares voted against the proposal; and 78,771 shares abstained from voting on the proposal. There were 3,669,023 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/ Althea Brown
    Name: Althea Brown
    Title: Secretary


    Dated: May 23, 2025

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