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)
(Exact name of registrant as specified in its charter)
Delaware |
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000-52609 |
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20-3717839 |
(State or other jurisdictions of |
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(Commission File Number) |
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(I.R.S. Employer
Identification |
One Beacon Street, Floor 22
Boston MA 02108
(Address of principal executive offices) (Zip Code)
(617) 423-3644
(Registrants telephone number, including area code)
(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.
As previously disclosed, LPL Investment Holdings Inc. (the Company) has appointed Robert Moore as Managing Director and Chief Financial Officer of the Company, effective September 2, 2008. Mr. Moore will receive an annual base salary of $600,000.00 and bonuses of $450,000.00 to be paid in January 2009 and no less than $900,000.00 to be paid in January 2010.
In addition, in connection with his appointment to this position, on September 9, 2008, the Company granted Mr. Moore 120,000 options to purchase common stock of the Company under its 2008 Stock Option Plan at an exercise price of $26.33 per share. The options will vest 20% per year over five years beginning on the first anniversary of the grant date and will have a term of ten years.
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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.
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LPL INVESTMENT HOLDINGS INC. |
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By: |
/s/ Stephanie L. Brown |
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Name: |
Stephanie L. Brown |
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Title: |
Secretary |
Dated: September 16, 2008
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