LPL Financial Holdings Inc.
LPL Investment Holdings Inc. (Form: 8-K, Received: 05/25/2011 08:00:39)

 

 

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

 

May 19, 2011

Date of report (date of earliest event reported)

 

LPL Investment 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.)

 

One Beacon Street

Boston MA 02108

(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 5.07     Submission of Matters to a Vote of Security Holders.

 

The Annual Meeting of Stockholders of LPL Investment Holdings Inc. was held in San Diego, California on May 19, 2011.  At that meeting, the stockholders considered and acted upon the following proposals:

 

1.  The Election of Directors.  By the vote reflected below, the stockholders elected the following individuals to serve as directors until the 2012 Annual Meeting of Stockholders and until their respective successors are duly elected and qualified:

 

 

 

Votes For

 

Votes Withheld

 

Broker Non-Votes

 

Mark S. Casady

 

93,638,296

 

712,474

 

584,678

 

Richard W. Boyce

 

90,836,323

 

3,514,447

 

584,678

 

John J. Brennan

 

93,908,740

 

442,030

 

584,678

 

James S. Putnam

 

93,908,788

 

441,982

 

584,678

 

Erik D. Ragatz

 

93,831,613

 

519,157

 

584,678

 

James S. Riepe

 

93,902,302

 

448,468

 

584,678

 

Richard P. Schifter

 

91,145,769

 

3,205,001

 

584,678

 

Jeffrey E. Steifler

 

93,901,564

 

449,206

 

584,678

 

Allen R. Thorpe

 

93,511,046

 

839,724

 

584,678

 

 

2.  The Advisory Vote on Executive Compensation.  The stockholders voted to approve, on an advisory, non-binding basis, the compensation paid to the named executive officers.  94,235,677 shares voted for the proposal; 73,261 shares voted against the proposal; and 41,832 shares abstained from voting on the proposal.  There were 584,678 broker non-votes on the proposal.

 

3.  The Advisory Vote on Frequency of Executive Compensation Advisory Votes.  By the vote reflected below, the stockholders recommended, on an advisory, non-binding basis, that an advisory vote to approve the compensation of LPL Investment Holdings Inc.’s named executive officers occur every 3 years:

 

1 year

 

2 years

 

3 years

 

Abstentions

 

11,530,360

 

198,001

 

82,604,298

 

18,111

 

 

Based on the results of this vote, LPL Investment Holdings Inc. will implement a triennial advisory vote on executive compensation.

 

4.  The Ratification of the Selection of Deloitte & Touche LLP as LPL Investment Holdings Inc.’s Independent Registered Public Accounting Firm for the Current Fiscal Year.  The stockholders voted to ratify the selection of  Deloitte & Touche LLP as LPL Investment Holdings Inc.’s independent registered public accounting firm for the current fiscal year.  94,715,430 shares voted for the proposal; 219,193 shares voted against the proposal; and 825 shares abstained from voting on the proposal.  There were no broker non-votes on the proposal.

 

2



 

SIGNATURE

 

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

 

 

 

LPL INVESTMENT HOLDINGS INC.

 

 

 

 

 

By:

/s/ ROBERT J. MOORE

 

 

Name:

Robert J. Moore

 

 

Title:

Chief Financial Officer

 

 

 

 

Dated: May 25, 2011

 

 

3